December 25, 2014 6:12 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...

20 Broad Street

18th Floor

New York, NY 10005

United States

Founded in 2005





Key Executives for NYSE Regulation, Inc.

Chief Executive Officer
Age: 58
Executive Vice President
Age: 65
Chief Regulatory Officer and Executive Vice President of NYSE Arca
Senior Vice President of Financial Compliance
Age: 51
Executive Vice President of Enforcement
Age: 55
Compensation as of Fiscal Year 2014.

Similar Private Companies By Industry

Company Name Region
Consoris Capital LLC United States
Prefco XV Limited Partnership United States
WeinsweigAdvisors LLC United States
Rodecker & Company, Investment Brokers, Inc. United States
The Sage Group LLC United States

Recent Private Companies Transactions

No transactions available in the past 12 months.

Stock Quotes

Market data is delayed at least 15 minutes.

Company Lookup

Most Searched Private Companies

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

Sponsored Financial Commentaries

Sponsored Links

Report Data Issue

To contact NYSE Regulation, Inc., please visit 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