NY Stock Exchange Archipelago Exchange Disciplinary Actions List
The NY Stock Exchange Archipelago Exchange Disciplinary Actions List provides a detailed account of the disciplinary measures taken against firms and individuals that fail to comply with trading rules and regulations.
Mitigate risk with our comprehensive screening solutions for your AML and sanctions compliance.
270 Entities in NY Stock Exchange Archipelago Exchange Disciplinary Actions List
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
CC Trading LLC | Company | Nov 19, 2020 | inactive |
XChange Financial Access LLC | Company | Mar 19, 2024 | active |
XChange Financial Access LLC | Company | Aug 27, 2024 | active |
Sagetrader LLC | Company | Jun 24, 2022 | inactive |
SageTrader LLC | Company | Sep 20, 2023 | active |
Sagetrader LLC | Company | Jun 23, 2022 | inactive |
JP Morgan Securities LLC | Company | Mar 21, 2023 | inactive |
JP Morgan Securities LLC | Company | Jul 15, 2024 | active |
JP Morgan Securities LLC | Company | Mar 21, 2023 | active |
JP Morgan Securities LLC | Company | Mar 20, 2023 | inactive |
FAQs
Why is compliance with NY Stock Exchange Disciplinary Actions List necessary?
Compliance with the NY Stock Exchange (NYSE) Disciplinary Actions List is essential for maintaining the integrity of the financial markets. This list highlights the actions taken against members, listed companies, and individuals who fail to follow the NYSE rules. These actions can include fines, suspensions, or even expulsions. Understanding and adhering to these disciplinary measures helps ensure that all market participants operate fairly and transparently.
Which companies should comply with NY Stock Exchange Disciplinary Actions List?
The NY Stock Exchange disciplinary actions list is crucial for companies listed on the exchange, including financial firms, corporations, and their representatives. These companies must comply with the rules to maintain fair trading practices, protect investors, and uphold market integrity. Compliance ensures transparency and builds trust in the financial system, which is vital for sustainable business operations.
APIs
Data License
Solutions
Pricing
All rights reserved | Terms of use Copyright ©2025 Trademo Technologies Inc.