Defendant Name:
NYSE American LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Intercontinental Exchange, Inc.
SIC Code:
6231
CUSIP:
45866F10
Document Reference:
33-10463
Document Details
Legal Case Name
In the Matter of New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.
Document Name
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
Document Date
06-Mar-2018
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
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. "
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Other Compliance Related Undertaking
Monetary Penalties:
Civil Penalty
Individual:
Shared:
$14,000,000.00
Shared with: New York Stock Exchange LLC; NYSE Arca, Inc.
Other Defendants in Action:
