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NYSE Regulation's Market Surveillance division detects potential violations of NYSE Amex Options and SEC rules by NYSE Amex Options member firms, their representatives, and customers. The division fulfills this function by:
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conducting real time and T+1 surveillance to detect unusual activity
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investigating unusual activity that cannot be readily explained, and
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summarizing findings for final review and disposition by NYSE Enforcement.
Sources of potential violations include member and customer complaints, referrals from the U.S. Securities and Exchange Commission and Self Regulatory Organizations, Unusual Activity Reports, and automated exception reports.
If you have questions or information about a surveillance matter, please contact NYSE Amex Options Surveillance by calling these numbers:
- Equities Hotline: 312.442.7788
- Options Hotline: 415.393.7955
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