NY Stock Exchange American Stock Exchange Disciplinary Actions List
The NY Stock Exchange (NYSE) and American Stock Exchange (AMEX) disciplinary actions list details the sanctions imposed on companies and individuals for violations of trading rules and regulations. It helps ensure that firms operate within legal guidelines and maintain market integrity.
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888 Entities in NY Stock Exchange American Stock Exchange Disciplinary Actions List
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Wells Fargo Securities, LLC | Company | Feb 21, 2025 | active |
Nomura Securities International, Inc. | Company | May 28, 2025 | active |
Wall Street Access | Company | Dec 18, 2024 | inactive |
Morgan Stanley & Co. LLC | Company | Aug 16, 2024 | inactive |
Lek Securities Corporation | Company | May 6, 2025 | inactive |
J.P. Morgan Securities LLC | Company | Apr 18, 2025 | inactive |
BofA Securities, Inc. | Company | Apr 16, 2025 | inactive |
Merrill Lynch, Pierce | Company | Aug 19, 2024 | inactive |
Barclays Capital Inc. | Company | May 12, 2025 | inactive |
Jefferies LLC | Company | Dec 16, 2024 | inactive |
FAQs
Why is compliance with NY Stock Exchange Archipelago Exchange Disciplinary Actions List necessary?
Compliance with the NY Stock Exchange Archipelago Exchange Disciplinary Actions List is crucial for maintaining the integrity of the financial markets. This list details disciplinary actions against firms and individuals for violations of rules and regulations. Understanding and adhering to these actions helps ensure that all market participants play by the same rules.
Which companies should comply with NY Stock Exchange Archipelago Exchange Disciplinary Actions List?
Companies listed on the NY Stock Exchange and Archipelago Exchange must comply with disciplinary actions to maintain market integrity and investor trust. These actions ensure that firms adhere to rules and regulations, promoting fairness and transparency. Compliance helps prevent fraudulent activities, protects investors, and supports a stable financial market, which is essential for all stakeholders involved.
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