Noncompliant Issuers

NYSE Regulation publishes a list of issuers that are noncompliant with NYSE quantitative/qualitative continued listing standards (collectively “.BC”) or that are delayed in filing an annual or interim report required pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (a late filer or “.LF”).

Public Information

The U.S. Securities and Exchange Commission adopted Regulation SHO on June 28, 2004, and compliance began on January 3, 2005. Reg SHO requires that every self-regulatory organization disseminate a daily list of its threshold securities.

Rules and Interpretations

Disciplinary Actions

Prior to June 2010, NYSE Regulation's Enforcement division investigated and prosecuted violations of NYSE, NYSE MKT, and NYSE Arca Rules and applicable federal laws or regulations that occurred on or through the systems and facilities of the relevant exchange. Since June 2010, FINRA investigates and prosecutes potential violations on NYSE Regulation’s behalf.

Disciplinary Actions stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the SEC. Case types may include:

  • Failure to cooperate
  • Financial/operations
  • Insider trading
  • Market manipulation
  • Misconduct on the trading floor
  • Registration/qualification
  • Short sale violations
  • Supervisory violations
  • Books and records deficiencies, and
  • Other abusive trading practices

Archive

NYSE Bonds

NYSE Regulation oversees U.S. bond trading through a program of surveillance, financial and operational compliance, and enforcement.

NYSE Regulation oversees U.S. bond trading through a program of surveillance, financial and operational compliance, and enforcement.

NYSE Regulation oversees U.S. bond trading through a program of surveillance, financial and operational compliance, and enforcement.

Compliance

NYSE Regulation oversees U.S. bond trading through a program of surveillance, financial and operational compliance, and enforcement.

Noncompliant Issuers