Defendant Name: NYSE American LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 34-100206-s

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 SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion
Document Date 22-May-2024
Document Format Administrative Proceeding
File Number 3-21947
Allegation Type Other
Document Summary On May 22. 2024, the SEC "announced that The Intercontinental Exchange, Inc. (ICE) agreed to pay a $10 million penalty to settle charges that it caused the failure of nine wholly-owned subsidiaries, including the New York Stock Exchange, to timely inform the SEC of a cyber intrusion as required by Regulation Systems Compliance and Integrity (Regulation SCI)."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order

Related Documents:

34-100206 22-May-2024 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 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”)."
2024-63 22-May-2024 Press Release--Administrative Proceeding
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion
On May 22, 2024, the SEC "announced that The Intercontinental Exchange, Inc. (ICE) agreed to pay a $10 million penalty to settle charges that it caused the failure of nine wholly-owned subsidiaries, including the New York Stock Exchange, to timely inform the SEC of a cyber intrusion as required by Regulation Systems Compliance and Integrity (Regulation SCI)."