New York Stock Exchange
... securities laws and New York Stock Exchange rules. The Exchange must be the front line of regulation. Here, the Exchange's ... NEW YORK, NY In the Matter of the New York Stock Exchange, Inc.. In the Matter of Certain Specialist Trading - New York ... This settlement will raise the bar for regulation at the Exchange and help prevent misconduct on the Exchange floor from ... although the Exchange is being charged today in one of our enforcement actions, the staff of the Exchange's Enforcement ... against the New York Stock Exchange for its failure to adequately police the specialists. The Exchange has agreed to a ... for at least eighteen months in at least 20 stocks. The video and audio surveillance will help the Exchange keep an eye ... is focused on protection of investors. In addition to a cease and desist order and censure, the Exchange has agreed to ... I would also like to thank the New York Stock Exchange Division of Enforcement for its assistance in investigating the ... SEC Speech Certain Specialist Trading - New York Stock Exchange, Inc. June 23...
... Exchange LLC agrees that: 1. New York Stock Exchange LLC may not transfer or assign any of its shares of common stock of ... t.Stock s Tc-0i6on oforgns arul0.0 Regul[(tigat 005 Tc-0. York Studing inves)1Tj16.025 0 TD0.0003mt[(.2(cipm)8.3 shall b ... books and rRcords shauu bR subjRct at auu timRs to a) the SEC ad r(b) by New Yor Stock Exchange LLC. 3. NYSE R. sd2.48 ... LLC m. determ ember organizations a. ine if they have violated the rules and policies of New York Stock Exchange LLC, ... This Agreement may not be modified except pursuant to a written agreement among New York Stock Exchange LLC, NYSE ... Exchange LLC member organizations and persons associated thefewith, and othefs using the services or facilities of NYSE ... inister, interpret or enf nister New York Stock Exchange LLC enforcement and tigation TDdjudication of disciplinary ... 291 of 299 1. New York Stock Exchange LLC shall not transfer or assign its membership in NYSE Regulation to another ... Rel. No. 34-53088, File No. SR-NYSE-2005-77, Exhibit 5I
NEW YORK (AP) - Stocks that were moving substantially or trading heavily Wednesday on the New York Stock Exchange and Nasdaq Stock Market: NYSE Pulte Homes Inc., down 13 cents at $27.32.
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