Defendant Name: New York Stock Exchange 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
First Document Date 06-Mar-2026
Initial Filing Format Administrative Action
File Number 3-22608
Allegation Type Other

Violations Alleged

Other
• Section 19(g)(1) Exchange Act; Rule 1001(a)(2)(vii) Regulation SCI

Resolutions

First Resolution Date 06-Mar-2026
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-104934 06-Mar-2026 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 March 6, 2026, the SEC instituted settled cease-and-desist proceedings against New York Stock Exchange LLC, stating: "This matter arises out of a January 24, 2023 event in which NYSE failed to run opening auctions for 2,824 NYSE-listed securities (“the 2,824 Securities”) due to a critical systems disruption. Instead, NYSE initiated continuous trading for those securities. NYSE’s failures caused market-wide impacts, including price-triggered restrictions on trading, market-wide trading pauses in 84 of the securities, and ultimately thousands of busted trades."
34-104934-s 06-Mar-2026 Administrative Summary
SEC Charges New York Stock Exchange LLC for Failing to Establish Policies and Procedures to Monitor Opening Auctions
On March 6, 2026, the SEC "announced settled charges against the New York Stock Exchange LLC (“NYSE”) related to a January 2023event in which NYSE failed to conduct opening auctions for more than 2,800 securities."