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.
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270 Entities in NY Stock Exchange Archipelago Exchange Disciplinary Actions List
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Barclays Capital Inc | Company | Oct 19, 2022 | inactive |
Barclays Capital Inc | Company | Apr 20, 2021 | inactive |
Barclays Capital Inc | Company | Dec 13, 2021 | inactive |
Barclays Capital Inc | Company | Apr 21, 2021 | inactive |
Barclays Capital Inc | Company | Jul 25, 2024 | active |
Barclays Capital Inc | Company | Oct 18, 2022 | inactive |
Credit Suisse Securities USA LLC | Company | May 26, 2022 | inactive |
Credit Suisse Securities USA LLC | Company | May 25, 2022 | inactive |
Oppenheimer Co Inc | Company | Mar 13, 2023 | active |
Oppenheimer Co Inc | Company | Mar 12, 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.
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