The Commission brought its first action based on Regulation SCI regarding business continuity as part of a proceeding naming the New York Stock Exchange, NYSE American and NYSE Arca, Inc. as Respondents. The proceeding is the result of five separate …

SEC Sanctions NYSE, American and Arca Exchanges Read More »

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When corporations selectively disseminate material non-public information to one group prior to making it publically available is a violation of Regulation FD, the selective disclosure unfairly disadvantages the investing public. When a corporate executive furnishes his or her friends with …

The SEC Action Against the NYSE: The Need to Ensure Fair Markets Read More »

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