Defendant Name: NYSE American LLC

Defendant Type: Subsidiary of Public Company
Public Company Parent: Intercontinental Exchange, Inc.
SIC Code: 6231
CUSIP: 45866F10

Initial Case Details

Legal Case Name In the Matter of New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc.
First Document Date 06-Mar-2018
Initial Filing Format Administrative Action
File Number 3-18388
Allegation Type Other

Violations Alleged

Securities Act
• Sec 17(a)(2)
Other
• Section 19(b)(1) Exchange Act; Rule 1001(a)(1), 1001(a)(2)(v) Regulation SCI

Resolutions

First Resolution Date 06-Mar-2018
Headline Total Penalty and Disgorgement $14,000,000

Related Documents:

33-10463 06-Mar-2018 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 19(h)(1) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
According to the SEC, "This matter involves several episodes in which the NYSE Exchanges engaged in certain business practices without having in place required and effective rules; operated in a manner that did not comply with the exchange rules then in effect; and/or operated in a manner that did not comply with the federal securities laws. "
2018-31 06-Mar-2018 Press Release--Administrative Proceeding
NYSE to Pay $14 Million Penalty for Multiple Violations
On March 6, 2018, the SEC issued a press release announcing that "it charged the New York Stock Exchange and two affiliated exchanges with regulatory failures in connection with multiple episodes, including several disruptive market events."

Other Defendants in Action:

NYSE Arca, Inc.
New York Stock Exchange LLC