SEC fines NYSE $4.5 mn over lax market oversight | Bangkok Post: news

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SEC fines NYSE $4.5 mn over lax market oversight

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The New York Stock Exchange and affiliates will pay a $4.5 million fine to settle charges it violated market rules, the Securities and Exchange Commission said Thursday. 

Traders work on the floor of the New York Stock Exchange in New York City on April 30, 2014

The NYSE "engaged in business practices that either violated exchange rules or required a rule when the exchanges had none in effect," the SEC said in a statement.

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