Regulation & law · 04/10/2016

NYSE MKT LLC Filing Proposed Rule Change for Public Disciplinary Information Release

NYSE MKT LLC has filed a proposed rule change to amend its rule 8313, allowing public release of disciplinary complaints, decisions, and other information modeled on FINRA rule 8313, and adopting a new rule 9291 for temporary or permanent cease and desist orders following recent FINRA amendments.