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Stories of Interest
- Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein
- New York Pension Fund Seeks More Pay Disclosure from Wells Fargo
- Wells Fargo Sanctions Are on Ice Under Trump Official
- Josh Brown: Here's How to Buy Bitcoin, But Realize It Could Be One Giant Bubble
- Trump's New Tax Plan Could Cost Citigroup $20 Billion
- Morgan Stanley Fires Former Congressman Harold Ford Jr.
- Al Franken Will Resign Over Sexual Misconduct Allegations - His Full Resignation Speech
- Ex-NFL Player Gets 40 Years for Running $10Mn Fraud
- Bitcoin Blows Past $15K, Adding $2K in Under 12 Hours
- Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors
- New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation
- Mueller Just Crossed Trump's Red Line, With Deutsche Bank Subpoena
- Wildfire Rages Near Los Angeles
- Former Company Insider Has $4.1Mn Payday as a Whistleblower
- Audit Firm, Anton & Chia, Conducted Fraudulent Audits of Penny Stock Companies - SEC
- Mueller Subpoenas Deutsche Bank Records on Trump and Family
- Bitcoin Nearly Halfway to $400Bn Value Predicted by Winklevoss Twins 4 Years Ago
- Fidelity Clients Suffer Second Website Glitch in Week
- CBOE Beats CME to Bitcoin Futures Launch with December 10 Start
- McKinsey Senior Exec Thomas Barkin Named New Head of Federal Reserve Bank of Richmond
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NEWSLETTERS & ALERTS
Rules & Regulations
MARCH MADNESS: Just Not On the Trading Floor
Two time honored traditions: the NCAA Basketball Tournament Brackets and the NYSE "Gambling" Bulletin to All Floor Members.
Offices and business establishments throughout America are gearing up for the start of March Madness - the NCAA Men's College Basketball Tournament. Sixty-eight teams will vie for the title of 2017 Champion. LET MARCH MADNESS BEGIN ... except at the New York Stock Exchange.
We'll let NYSE Member Education Bulletin 17-2 speak for itself.
To: ALL FLOOR MEMBERS
From: NYSE REGULATION
Subject: PROHIBITION ON GAMBLING ON PREMISES UNDER NYSE CONTROL, INCLUDING THE TRADING FLOOR
This Member Education Bulletin reminds all members, member organizations, and their employees of the policies governing gambling on New York Stock Exchange LLC (“NYSE”) premises, including the NYSE and NYSE MKT Equities trading Floor (the “Floor”). These policies were previously described in NYSE Information Memo 16-11, dated August 19, 2016.
Promoting or participating in certain gambling activities on the Floor or other premises under NYSE control is strictly prohibited by the Floor Conduct and Safety Guidelines and NYSE and NYSE MKT Rules (“NYSE and NYSE MKT Rules and Policies”). For example, participating in a sporting event pool where the participants purchase participation in the pool violates NYSE and NYSE MKT Rules and Policies. Other examples of prohibited gambling activity include schemes such as bookmaking, numbers games, or other organized for‐profit betting activity relating to sporting activities, other outside events or games of chance.
In addition to constituting a violation of NYSE and NYSE MKT Rules and Policies, gambling also can be a criminal offense in New York. ...........................
Telephones, computers, or other communication devices or business equipment located on the Trading Floor or other premises under NYSE control may not be used for any prohibited gambling activities. ...........................
For Answeres to Your Questions, Go to: Stephen Larson or Sean Gilmartin of NYSE Regulation; Nicholas Brigandi or Rudolfo Mass of NYSE Floor Operations.