March 6, 2018 / 7:06 PM / 3 months ago

NYSE to pay $14 mln penalty for regulatory violations -SEC

WASHINGTON, March 6 (Reuters) - The New York Stock Exchange and two affiliated exchanges have agreed to pay a $14 million penalty to resolve multiple regulatory failures, the U.S. Securities and Exchange Commission said on Tuesday.

The charges arose from five separate investigations and include the first-ever charged violation of the business continuity and disaster recovery requirements under Regulation SCI, the SEC said in a statement.

Reporting by Eric Walsh Editing by Andrea Ricci

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