NYSE Regulation oversees trading activities on all NYSE exchanges to ensure compliance with both exchange rules and federal securities laws and regulations. NYSE Regulation encourages member firms, listed issuers, investors and other market participants to share tips, complaints, inquiries or other relevant information concerning suspicious trading behaviors or potentially violative activities occurring on or related to any of the NYSE exchanges listed below:
• New York Stock Exchange LLC
• NYSE Arca, Inc.
• NYSE American LLC
• NYSE National, Inc.
• NYSE Texas, Inc.
Member firms, listed issuers, investors and other market participants wishing to share such information should contact NYSE Regulation here. Submit a Tip, Complaint, Inquiry or Provide Other Information by using the 'Submit Tip or Complaint' button.
NYSE Regulation will review the information and determine what further investigative action may be necessary. In order to expedite NYSE Regulation’s ability to review your submission, please provide as much information as possible including, where applicable:
• Name, telephone number, and email address (unless you choose to remain anonymous)
• A summary of the nature of the complaint
• The relevant NYSE exchanges or trading venues to which the tip, complaint, inquiry or information pertains
• The name and ticker symbol(s) of the security(ies) involved
• Names of the securities firm, broker, and other individuals involved
• Date and time of the trade(s)
• Specific order information, including order type (buy, sell, limit price or market order, etc.) and order size
• Whether you have contacted any other regulators (including the SEC or FINRA) regarding the complaint
• Whether you have previously contacted NYSE Regulation regarding the complaint
NYSE Regulation will not share details of its investigations with complainants and does not offer incentives of any kind in exchange for tips or complaints. NYSE Regulation shall investigate potential violations of exchange rules and federal securities laws and regulations within its disciplinary jurisdiction whenever NYSE Regulation determines — in its discretion — that there is a reasonable basis to do so. NYSE Regulation also may determine to refer a tip or complaint that it receives to another regulatory body, including to the SEC or FINRA.
NYSE Regulation has authority to investigate, prosecute and discipline members firms of the NYSE exchanges and those firm’s associated persons. NYSE Regulation does not have authority to investigate, prosecute and discipline non-member firms and individuals unassociated with member firms. Should your tip, complaint, inquiry or information potentially fall within these areas, you may also direct any tip, complaint, inquiry or information to the SEC or FINRA.