NYSE Regulation ("NYSER") welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. That information or related inquiries may be submitted using the link at the bottom of this page. As detailed below and depending on the nature of your complaint or inquiry, the issues raised may be handled by NYSER or fall within the jurisdiction of another regulator.
NYSER has primary responsibility for monitoring activities on the NYSE’s equities, options, and bonds markets – i.e., the New York Stock Exchange LLC (equities and bonds), NYSE Arca, Inc. (equities and options), NYSE American LLC (equities and options) and NYSE National, Inc. (equities) (collectively, the “NYSE Exchanges”) – and for addressing non-compliance with the NYSE Exchanges’ rules and federal securities laws.
On January 4, 2016, NYSER began performing certain surveillance, investigation and enforcement functions that previously had been performed by the Financial Industry Regulatory Authority, Inc. ("FINRA") on NYSER’s behalf. FINRA continues to perform a number of regulatory functions for NYSER, including those involving oversight of certain conduct occurring across multiple venues as well as examination, member application, and registration and qualification services.
Below are links to regulators that may have jurisdiction to address complaints and inquiries that fall outside NYSER’s purview. Click on a link below if your complaint or inquiry concerns:
- Order execution, insider trading or market manipulation on NYSE, NYSE American, 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 NYSER or other regulators. This may 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 NYSER cannot investigate your complaint without appropriate background information.
In order to expedite our ability to respond to your concern, your complaint or inquiry to NYSER should provide information that includes, if applicable:
- Your full name, address, telephone number, and e-mail address (unless you choose to remain anonymous)
- The security’s name and its ticker symbol
- Names of the securities firm, broker, and other individuals involved
- Date of the trade
- Specific order information, including order type (buy, sell, limit price or market order, etc.) and order size
- Order identification code, branch code, and sequence number (available from your broker at no cost to you)
- A clear, concise summary of the complaint or inquiry
If applicable, please identify when and by whom the matter may have been previously referred or reviewed. Requests are typically handled in the order in which complete information is received.
Please be sure to keep copies of any correspondence for your records, along with originals of any documentation.