Defendant Name: NYSE MKT 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 Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C.
First Document Date 01-May-2014
Initial Filing Format Administrative Action
File Number 3-15860
Allegation Type Other

Violations Alleged

Other
• Sections 19(b)(1), 19(g)(1) Exchange Act

Resolutions

First Resolution Date 01-May-2014
Headline Total Penalty and Disgorgement $4,500,000

Related Documents:

34-72065 01-May-2014 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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
On May 1, 2014, the SEC instituted "public administrative and cease-and-desist proceedings," alleging that "the Respondent Exchanges devoted insufficient attention to ensuring that the business operations of the exchanges... were conducted in accordance with effective exchange rules and the federal securities laws."
2014-87 01-May-2014 Press Release--Administrative Proceeding
SEC Charges NYSE, NYSE ARCA, and NYSE MKT for Repeated Failures to Operate in Accordance With Exchange Rules
On May 1, 2014, the SEC announced "an enforcement action against the New York Stock Exchange and two affiliated exchanges for their failure to comply with the responsibilities of self-regulatory organizations (SROs) to conduct their business operations in accordance with Commission-approved exchange rules and the federal securities laws. Also charged was the NYSE exchanges' affiliated routing broker Archipelago Securities."

Other Defendants in Action:

New York Stock Exchange LLC
NYSE Arca, Inc.
Archipelago Securities, L.L.C.