In the latest in a series of suits against stock exchanges, the U.S. Securities and Exchange Commission announced an enforcement action against the New York Stock Exchange and two affiliated exchanges for failing to establish and follow certain mandatory rules.
May 01, 2014 at 03:42 PM
1 minute read
In the latest in a series of suits against stock exchanges, the U.S. Securities and Exchange Commission on Thursday announced an enforcement action against the New York Stock Exchange and two affiliated exchanges for failing to establish and follow certain mandatory rules.
The exchanges, represented by Wilmer Cutler Pickering Hale and Dorr partner Jonathan Pressman, agreed to pay a $4.5 million fine and hire an independent consultant.
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