NYSE Regulation Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 14 Dec 2017 18:40:16 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png NYSE Regulation Inc. – Investment Executive https://www.investmentexecutive.com 32 32 FINRA to oversee NYSE equities and options markets https://www.investmentexecutive.com/news/from-the-regulators/finra-to-oversee-nyse-equities-and-options-markets/ Tue, 04 May 2010 14:55:00 +0000 https://www.investmentexecutive.com/uncategorized/finra-to-oversee-nyse-equities-and-options-markets/ Agreement aims to improve investor protection by establishing a unified approach to market oversight

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]]> SEC proposes plan to enhance insider trading surveillance and detection https://www.investmentexecutive.com/news/from-the-regulators/sec-proposes-plan-to-enhance-insider-trading-surveillance-and-detection/ Wed, 13 Aug 2008 16:30:00 +0000 https://www.investmentexecutive.com/uncategorized/sec-proposes-plan-to-enhance-insider-trading-surveillance-and-detection/ FINRA, NYSE Regulation to split responsibilities

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]]> NYSE fines dealers for failing to provide required data https://www.investmentexecutive.com/news/from-the-regulators/nyse-fines-dealers-for-failing-to-provide-required-data/ Wed, 07 May 2008 18:35:00 +0000 https://www.investmentexecutive.com/uncategorized/nyse-fines-dealers-for-failing-to-provide-required-data/ Several Wall Street firms were sanctioned by NYSE Regulation Inc. for certain violations related to their front-end systemic capture systems.All of the firms (Bear Stearns & Co., Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., and Morgan Stanley & Co., Inc.) consented without admitting or denying guilt to findings […]

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