Defendant Name: New York Stock Exchange LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 34-104934-s

Document Details

Legal Case Name In the Matter of New York Stock Exchange LLC
Document Name SEC Charges New York Stock Exchange LLC for Failing to Establish Policies and Procedures to Monitor Opening Auctions
Document Date 06-Mar-2026
Document Format Administrative Proceeding
File Number 3-22608
Allegation Type Other
Document Summary On March 6, 2026, the SEC "announced settled charges against the New York Stock Exchange LLC (“NYSE”) related to a January 2023event in which NYSE failed to conduct opening auctions for more than 2,800 securities."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Monetary Penalties:

Civil Penalty

Individual:     $9,000,000.00 Shared:    

Related Documents:

34-104934 06-Mar-2026 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 March 6, 2026, the SEC instituted settled cease-and-desist proceedings against New York Stock Exchange LLC, stating: "This matter arises out of a January 24, 2023 event in which NYSE failed to run opening auctions for 2,824 NYSE-listed securities (“the 2,824 Securities”) due to a critical systems disruption. Instead, NYSE initiated continuous trading for those securities. NYSE’s failures caused market-wide impacts, including price-triggered restrictions on trading, market-wide trading pauses in 84 of the securities, and ultimately thousands of busted trades."