As a registered securities exchange, NYSE Chicago is subject to the regulatory oversight of the SEC. All rules and rule amendments filed and approved by the SEC pursuant to Section 19(b) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereafter.
All outstanding proposed rule changes, called 19b-4 filings, filed by NYSE Chicago (formerly Chicago Stock Exchange, Inc.) with the SEC. 19b-4 filings relate to proposed changes to the NYSE Chicago Rules and federal securities laws.
Disciplinary Actions stem from a variety of sources that include internal referrals, investor complaints, examinations of member organizations, and referrals from the SEC.
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.