Violation Tracker Individual Record
Company:New York Stock Exchange, Inc.
Date:April 12, 2005
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
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 Parent:USA
HQ State of Parent:Georgia
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
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