view market data

Compliance and Trading Examinations

Routine and for-cause examinations of participants for which the Exchange is the designated examining authority or DEA are conducted by NYSER staff. The examination program typically focuses on the following areas:

  1. The financial reporting and soundness of participant firms;
  2. The operational structure and processes of such firms; and
  3. The overall system of supervision of the participant’s principal lines of business, especially the participant’s policies and procedures relating to trading issues.