All New York Stock Exchange articles
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News Brief
SEC orders Intercontinental Exchange to pay $10M over Reg SCI violations
Intercontinental Exchange and nine affiliates agreed to pay $10 million for allegedly failing to inform the Securities and Exchange Commission of a cyber intrusion as required by Regulation Systems Compliance and Integrity.
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Article
Chinese companies facing HFCAA delisting seeking alternatives
Chinese businesses identified as noncompliant with the Holding Foreign Companies Accountable Act are trying a variety of strategies to circumvent or comply with the law before they are delisted from U.S. exchanges.
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Article
Parting gift: New Trump sanctions against China complex for compliance
A November executive order by former President Donald Trump banning U.S. investment in companies with ties to the Chinese military has proven difficult for compliance officers to navigate after taking effect earlier this month.
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Article
Intercontinental Exchange tabs risk officer
Intercontinental Exchange, the parent company of the New York Stock Exchange, announced Joanne Rowe has been named corporate risk officer.
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Blog
CII petitions exchanges over dual-class shares
The Council of Institutional Investors has filed petitions with the New York Stock Exchange and Nasdaq asking them to limit listings of companies with dual-class share structures.