New York Stock Exchange LLC: matters recorded

New York Stock Exchange LLC

Named as a respondent in 2 matters recorded in this library, between 2014 and 2018. Naming a company in a record is not a finding against it; each row below uses the status words of the record it comes from.

Matters

Matters naming this company as a respondent, oldest first. Several records of one scheme count as one matter.
Year	Regulator	What the matter concerned	Status	Money recorded	Case page(s)
2014	SEC	No technique tag recorded SEC v. New York Stock Exchange LLC and others (2014)	Settled	$4,500,000 recorded for the matter (all respondents)	2014-05-01 SEC, settled
2018	SEC	No technique tag recorded SEC v. New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. (2018)	Settled	$14,000,000 recorded for the matter (all respondents)	2018-03-06 SEC, settled

Money is the largest total of penalty, disgorgement and interest recorded in any one record of the matter (figures are not added across records, since later records often repeat earlier ones), shown in the currency the regulator used. Where there is no figure the record states none.

Outcome mix

Latest recorded status of each of the 2 matters: settled 2.

What this page does not show

Being named in a record is not a finding. A filing alleges; only an order, judgment or conviction finds.
A settled order may be neither an admission nor a denial of the conduct described.
The records cover only the sources this library ingests. Other matters may exist that it does not hold.
Money is per matter and may include co-respondents. It is not a figure paid by this company alone unless the record says so.
Companies are matched by name only. A same-named entity could be a different company, and related entities (a parent, a subsidiary, a sister company) are kept on their own pages.

See also all firms in this library. To report an error, use the corrections page.