NYSE Regulation Announces December Disciplinary Actions Against Four Firms, Three Individuals

This is NYSE Regulation, Inc.'s Disciplinary Actions announcement for December 2007. NYSE Regulation undertakes disciplinary action to enforce violations of NYSE rules and federal securities laws by member organizations, NYSE Arca rules and federal securities laws by trading permit holders, as well as current and former employees of those organizations.

There are three NYSE actions announced this month against individuals and four NYSE Arca actions against firms (trading permit holders).

Here is the link to the December announcements page for NYSE:

http://www.nyse.com/DiscAxn/discAxn_12_2007.html

Here are the links to the December announcements for four NYSE Arca cases:

http://www.nysearca.com/content/regulation/disciplinary/2007/NYSEArca-07-AE-03.pdf
http://www.nysearca.com/content/regulation/disciplinary/2007/NYSEArca-06-AE-26.pdf
http://www.nysearca.com/content/regulation/disciplinary/2007/NYSEArca-05-AE-58.pdf
http://www.nysearca.com/content/regulation/disciplinary/2007/NYSEArca-06-AE-16.pdf

About NYSE Regulation
On July 30, 2007, NYSE Regulation’s member regulation oversight functions were consolidated with NASD to form the Financial Industry Regulatory Authority (FINRA). Trading violations that occur on or through the systems and facilities of the NYSE Group will continue to investigated and prosecuted by NYSE Regulation’s Enforcement division. All enforcement actions filed with the NYSE Hearing Board by NYSE Regulation Enforcement prior to the merger will be prosecuted under NYSE Rules and federal securities laws until concluded.