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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NYSE Regulation: A New Web Site, and More
NYSE Regulation, Inc., is sporting a new Web site page and trumpeting its independence - heady stuff, we'd say. In its own words, the regulator "is an independent not-for-profit corporation dedicated to strengthening market integrity and investor protection."
Before you despair, please be adivse NYSE-Reg still provides its "bread and butter" services, including:
- Rules and Interpretations. NYSE Regulation must maintain a body of rules to regulate its member organizations and their associated persons - covering: Information Memos, Member Education Bulletins, NYSE Rules, Rule Changes, Rule Filings, Rule Interps.
- Listed Company Compliance. Learn how NYSE Regulation monitors companies listed on the NYSE, NYSE Arca, and NYSE Amex.
- Disciplinary Actions. On behalf of NYSE Regulation, FINRA enforces rules and federal securities laws, and if necessary brings disciplinary action against member organizations, as well as current and former employees of those organizations.
You may find it takes a couple of more clicks to get to your destination - but that's not an issue. You can still reach its site through www.nyse.com. For further details, go to: [New NYSE Regulation Site]

