Defendant Name:
NYSE Arca, Inc.
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 Intercontinental Exchange Inc., Archipelago Trading Services, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., ICE Clear Credit LLC, ICE Clear Europe Ltd., NYSE Chicago, Inc., NYSE National, Inc., and Securities Industry Automation
First Document Date
22-May-2024
Initial Filing Format
Administrative Action
File Number
3-21947
Allegation Type
Other
Violations Alleged
•
Rules 1002(b)(1), 1002(b)(2) Regulation Systems Compliance and Integrity (Regulation SCI)
Additionally,
Intercontinental Exchange, Inc. is alleged to have caused NYSE Arca, Inc.'s violation of Rules 1002(b)(1), 1002(b)(2) Regulation Systems Compliance and Integrity (Regulation SCI).
Resolutions
First Resolution Date
22-May-2024
Related Documents:
34-100206
22-May-2024
Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On May 22, 2024, the SEC instituted cease-and-desist proceedings against Intercontinental Exchange Inc. and certain of its subsidiaries, Archipelago Trading Services, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., ICE Clear Credit LLC, ICE Clear Europe Ltd., NYSE Chicago, Inc., NYSE National, Inc., and Securities Industry Automation Corporation, stating: "These proceedings arise out of a failure by the ICE SCI Respondents, all indirect, wholly-owned subsidiaries of ICE, to timely notify the Commission of a systems intrusion (the “Intrusion”) as required by Regulation Systems Compliance and Integrity (“Regulation SCI”)."
2024-63
22-May-2024
Press Release--Administrative Proceeding
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion
On May 22, 2024, the SEC "announced that The
Intercontinental Exchange, Inc. (ICE) agreed to pay a $10 million penalty to settle charges that it caused the failure
of nine wholly-owned subsidiaries, including the New York Stock Exchange, to timely inform the SEC of a cyber
intrusion as required by Regulation Systems Compliance and Integrity (Regulation SCI)."
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion
On May 22. 2024, the SEC "announced that The Intercontinental Exchange,
Inc. (ICE) agreed to pay a $10 million penalty to settle charges that it caused the failure of nine wholly-owned
subsidiaries, including the New York Stock Exchange, to timely inform the SEC of a cyber intrusion as required by
Regulation Systems Compliance and Integrity (Regulation SCI)."
Other Defendants in Action:
