Violation Tracker Individual Record
The SEC announced an enforcement action against the New York Stock Exchange and two affiliated exchanges for their failure to comply with the responsibilities of self-regulatory organizations (SROs) to conduct their business operations in accordance with Commission-approved exchange rules and the federal securities laws. Also charged was the NYSE exchanges' affiliated routing broker Archipelago Securities. The NYSE exchanges agreed to settle the SEC?s charges by retaining an independent consultant and together with Archipelago Securities paying a $4.5 million penalty.
https://www.sec.gov/News/PressRelease/Detail/PressRelease/1370541706507 (archived copy)