May 24, 2013 10:51 AM 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...

Detailed Description

20 Broad Street

18th Floor

New York, NY 10005

United States

Founded in 2005

Phone:

212-656-4542

Fax:

212-656-5780

usequities.nyx.com/nyse-regulation

Key Executives for NYSE Regulation, Inc.

Interim Chief Executive Officer
Age: 63
Chief Regulatory Officer and Executive Vice President of NYSE Arca
Senior Vice President of Financial Compliance
Age: 49
Executive Vice President of Enforcement
Age: 53
Senior Vice President of Market Surveillance
Age: 44
Compensation as of Fiscal Year 2012.

Similar Private Companies By Industry

Company Name Region
Walker County Educators Federal Credit Union United States
Appalachian Power Employees Federal Credit Union United States
Boston Factors, Inc. United States
Bay Sierra Financial, Inc. United States
Chlorophyllix, Inc. United States

Recent Private Companies Transactions

Type
Date		 Target
No transactions available in the past 12 months.
Report Data IssueReport Data Issue
 

Stock Quotes

Market data is delayed at least 15 minutes.

Company Lookup

Most Searched Private Companies

Company Name Geographic Region
NYC2012, Inc. United States
Bertelsmann AG Europe
Lawyers Committee for Civil Rights Under Law United States
Rush University United States
Greater Houston Partnership United States

Post a JobJobs

View all jobs

Sponsored Financial Commentaries

Sponsored Links

Report Data Issue

To contact NYSE Regulation, Inc., please visit usequities.nyx.com/nyse-regulation. Company data is provided by Capital IQ. 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.

Close