October 23, 2016 12:16 PM ET

Capital Markets

Company Overview of NYSE Regulation, Inc.

Company Overview

NYSE Regulation, Inc., a not-for-profit corporation, operates as a regulator for various securities brokers and dealers in the United States. It operates through three divisions: Market Surveillance, Enforcement, and Listed Company Compliance. The Market Surveillance division monitors trading activities and investigates trading abuses by member organizations. The Enforcement division investigates and prosecutes disciplinary actions. The Listed Company Compliance division ensures companies listed on New York Stock Exchange meet financial and corporate governance listing standards. The company was incorporated in 2005 and is based in New York, New York. NYSE Regulation, Inc. operates as a subs...

20 Broad Street

18th Floor

New York, NY 10005

United States

Founded in 2005





Key Executives for NYSE Regulation, Inc.

Executive Vice President, General Counsel and Director
Age: 67
Chief Regulatory Officer and Executive Vice President of NYSE Arca, Inc.
Senior Vice President of Financial Compliance
Age: 53
Senior Vice President of Corporate Compliance
Age: 59
Compensation as of Fiscal Year 2016.

Similar Private Companies By Industry

Company Name Region
@Visory LLC United States
1 Road Partners LLC United States
11T Partners, LLC United States
123Jump.com, Inc. United States
1509225 Ontario, Inc. United States

Recent Private Companies Transactions

No transactions available in the past 12 months.

The information and data displayed in this profile are created and managed by S&P Global Market Intelligence, a division of S&P Global. Bloomberg.com does not create or control the content. For inquiries, please contact S&P Global Market Intelligence directly by clicking here.

Stock Quotes

Market data is delayed at least 15 minutes.

Company Lookup

Most Searched Private Companies

Company Name Geographic Region
Lawyers Committee for Civil Rights Under Law United States
Bertelsmann AG Europe
Bloomberg L.P. United States
NYC2012, Inc. United States
The Advertising Council, Inc. United States

Sponsored Financial Commentaries

Sponsored Links

Request Profile Update

Only a company representative may request an update for the company profile. Documentation will be required.

To contact NYSE Regulation, Inc., please visit usequities.nyx.com/nyse-regulation. Company data is provided by S&P Global Market Intelligence. Please use this form to report any data issues.

Please enter your information in the following field(s):
Update Needed*

All data changes require verification from public sources. Please include the correct value or values and a source where we can verify.

Your requested update has been submitted

Our data partners will research the update request and update the information on this page if necessary. Research and follow-up could take several weeks. If you have questions, you can contact them at bwwebmaster@businessweek.com.