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Violation Tracker Individual Record

Company: New York Stock Exchange, Inc.
Current Parent Company: IntercontinentalExchange Group
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
Penalty: $20,000,000
Year: 2005
Date: April 12, 2005
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: New York Stock Exchange, Inc. agreed to set up a $20 million fund to pay for regulatory audits as part of a settlement of allegations that it failed to police specialists, who engaged in widespread and unlawful proprietary trading.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Georgia
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.