Nyse regulation
US SEC slams Finra for altering documents
Published online only
Finra must improve after misleading regulator, order says
Published online only
A 10% move in a stock price would trigger a pause in trading to prevent sudden falls
Published online only
Bank's systems fail to comply with US regulations to control naked shorting
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More Nyse regulation articles
Finra to gain regulatory power from NYSE Euronext
Published online only
The Financial Industry Regulatory Authority is to take powers of market surveillance and regulation enforcement from NYSE Regulation.
Finra looks to UK for regulatory inspiration
Original headline:
NEW YORK - The regulatory agenda was full for the Financial Industry Regulatory Authority (Finra) and NYSE Regulation - which are in the process of merging - even before the market crisis hit in mid-September. As a result of the merger of the two organisations,...
The enforcer
Original headline:
Victoria Pennington talks to Richard Ketchum, chief executive of NYSE Regulation, about the difficulties of dealing with the increased challenge of market surveillance and also discusses some of the major milestones in the development of the New York...
New head of risk at NYSE Regulation
Published online only
NYSE Regulation, the oversight arm of the New York Stock Exchange, has named Frederic Krieger as head of its new risk group.
Mabon Rapped By NYSE Over Lax Controls
Original headline:
THE New York Stock Exchange (NYSE) has announced the results of an inquiry into the back office operations of Mabon Securities, one of its members. NYSE has decided that Mabon Securities' New York operations violated NYSE rules. Mabon failed to adequately...
Nomura Consents To NYSE Fine Over Reverse Repo Trades
Original headline:
Trading innovative emerging market products can be an expensive business, as Nomura Securities International has recently discovered to its cost. The New York-based securities house - a subsidiary of Japanese financial giant Nomura Securities Company...
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