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September 02, 2015 1:51 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: 66
Chief Regulatory Officer and Executive Vice President of NYSE Arca, Inc.
Senior Vice President of Financial Compliance
Age: 52
Executive Vice President of Enforcement
Age: 56
Senior Vice President of Market Surveillance
Age: 47
Compensation as of Fiscal Year 2015.

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