Defendant Name: NYSE American LLC

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

Document Reference: 2018-31

Document Details

Legal Case Name In the Matter of New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.
Document Name NYSE to Pay $14 Million Penalty for Multiple Violations
Document Date 06-Mar-2018
Document Format Administrative Proceeding
File Number 3-18388
Allegation Type Other
Document Summary 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."

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. "

Other Defendants in Action:

NYSE Arca, Inc.
New York Stock Exchange LLC