NYSE

  • Blog post

    NYSE to pay $14M for regulatory failures, violation of Reg SCI

    2018-03-12T11:30:00Z

    The SEC has charged the New York Stock Exchange and two affiliated exchanges with regulatory failures in connection with several disruptive market events. The charges include include the first-ever charged violation of Regulation SCI.

  • Blog post

    Exchanges join forces to harmonize trading halts

    2016-08-11T14:45:00Z

    In response to trading disruptions and pricing irregularities that plagued the stock market last August, three major exchange groups—Bats Global Markets, Nasdaq, and the New York Stock Exchange—are working together to harmonize their electronic trading procedures. Joe Mont has more.

  • Blog post

    SEC's Investor Advocate Slams NYSE Rule Change

    2015-10-19T13:45:00Z

    For the first time, the Securities and Exchange Commission’s Office of the Investor Advocate is urging the rejection of a rule proposal. The New York Stock Exchange wants to exempt early stage companies from obtaining shareholder approval before selling additional shares to insiders and other related parties. Rick Fleming, the ...

  • Blog post

    SEC Approves Tick-Size Pilot Program

    2015-05-11T11:45:00Z

    The SEC has approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority for a two-year pilot program that will widen the minimum quoting and trading increments, known as tick sizes, for stocks of some smaller companies. The program—to begin May 6, 2016—will include stocks of ...