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Stories of Interest
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
- A Culprit for Financial Site Glitches: You and Your Apps
- Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
- We Must Stop Out-Of-Control Trading or U.S. Capitalist System Will Break Down - Dick Bove
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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.