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TRENDING TAGS
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- 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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SUPERBOWL MADNESS: NYSE Gambling Policy
NYSE CEO Duncan Niederauer reportedly likes the Pittsburgh Steelers over the Green Bay Packers in Super Bowl XLV, but won't bet on the game, in compliance with NYSE Gambling Policy, as defined in Rule 476(a)(7).
Promoting or participating in certain gambling activities on the Trading Floor or other premises under NYSE control is strictly prohibited by NYSE and NYSE Amex Rule 476(a)(7) and other rules and policies.
Besides being a criminal offense in New York, its a violation of the NYSE and NYSE Amex for a person, in a capacity other than as a participant or “player,” operates, promotes or advances a gambling enterprise or activity with the agreement or understanding that they will receive money, property or otherwise share in the proceeds of the gambling activity pursuant to the agreement or understanding.
For the complete enumeration of "remuneration" policies, go to: NYSE-Reg IM 11-4, 1/26].
Get Answers to Your Questions:
- Patricia Bergholc, Director, FINRA Market Reg. [patricia.bergholc@finra.org]
- Clare Saperstein,VP, NYSE Regulation [csaperstein@nyx.com]
- David De Gregorio, Counsel, NYSE Regulation [ddegregorio@nyx.com]
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