NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.
Since June 2010, FINRA regulates trading by NYSE and NYSE MKT member organizations and NYSE Arca permit holders on behalf of NYSE Regulation. FINRA is also responsible for regulation of securities firms and their representatives that do business with the public. If you have a trading or sales practice-related complaint, it will be forwarded to FINRA. Other types of complaints will also be forwarded to the appropriate regulator. Complaints about our various listing programs and general questions can be submitted below.
Your complaint or inquiry may be handled by NYSE Regulation or fall within the jurisdiction of another regulator. Click on a link below if you are concerned about:
- Order execution, insider trading or market manipulation on NYSE, NYSE MKT, or NYSE Arca by a brokerage firm or representative
- Unfair sales practice or improper business conduct by a brokerage firm or representative industry-wide
- Banks and Savings Institutions
- Insurance Companies
- Transfer Agents
If you have not already contacted the securities firm that your complaint or inquiry concerns, you may wish to do so before contacting NYSE Regulation or other regulators. This will give you and the firm an opportunity to resolve the situation without regulatory intervention. If the response from the firm is not satisfactory, you have the option of filing an inquiry or complaint.
If you have a complaint or inquiry regarding a specific order execution, be aware that NYSE Regulation cannot investigate your complaint without appropriate background information. In order to expedite our ability to respond to your concern, you will need to provide information that includes:
- name of security and stock symbol
- date of the trade
specific order information
- Order type (for example: buy, sell, limit price or market order, etc.)
- Order size
- order identification code, branch code, and sequence number (readily available from your broker at no cost to you), and
- the specific nature of the complaint or inquiry.
If applicable, please include when and by whom the matter may have been previously referred or reviewed. Requests are handled in the order in which complete information is received. If you wish to file any other type of securities-related complaint or inquiry, we may forward your submission to the appropriate regulator and a response may take longer. To act on your communication, please request provide the following information:
- full name, address, telephone number, and/or e-mail address, unless you choose to remain anonymous. Note: choosing to remain anonymous means we cannot obtain a response from the firm on your behalf
- name of the securities firm involved
- name of the broker and/or other individuals involved
- type of problem you are reporting
- type of product your complaint or inquiry involves
- name of securities and/or investment product involved, and
- a clear, concise summary of the complaint or inquiry
Please be sure to keep copies of any correspondence for your records, along with originals of any documentation.