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NYSE Regulation: A New Web Site, and More

August 3, 2011

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]