NYSE Regulation

Market surveillance for NYSE Group

NYSE Regulation performs the market surveillance, investigation, and enforcement functions for NYSE Group’s three equities exchanges and two options exchanges.

As self-regulatory organizations, NYSE, NYSE MKT, NYSE Arca Equities, NYSE Arca Options, and NYSE Amex Options are responsible for enforcing both their own and their members' compliance with exchange rules and applicable federal securities requirements, as well as monitoring and enforcing compliance by listed companies with applicable listing standards. NYSE Regulation oversees these self-regulatory organization responsibilities and functions in support of NYSE Group's mission to promote just and equitable principles of trade, to encourage free and open markets, and to protect investors and the public interest.

Cinnober is NYSE Regulation’s technology provider for the development and implementation of the enhanced Cinnober surveillance system powered by Scila.

NYSE Regulation is responsible for monitoring activities on the NYSE’s equities, options, and bonds markets. Visit website

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