Defendant Name:
NYSE MKT LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Intercontinental Exchange, Inc.
SIC Code:
6231
CUSIP:
45866F10
Document Reference:
34-72065
Document 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.
Document Name
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
Document Date
01-May-2014
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Other Compliance Related Undertaking
Various Undertakings
Monetary Penalties:
Civil Penalty
Individual:
Shared:
$4,500,000.00
Shared with: NYSE Arca, Inc.; New York Stock Exchange LLC; Archipelago Securities, L.L.C.
Other Defendants in Action:
