Defendant Name:
NYSE American LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Intercontinental Exchange, Inc.
SIC Code:
6231
CUSIP:
45866F10
Document Reference:
34-100206
Document 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 Corporation
Document Name
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
Document Date
22-May-2024
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
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”)."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Defendants in Action:
