Address: 214 Duffield Street
New York, NY 11201
United States
Who We Are?
NYCRB is established to promote investor confidence in the securities and capital markets by providing more structure and government oversight. The mission of is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.

Crucial to NYCRB's effectiveness is its enforcement authority. Each year brings more enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud and providing false or misleading information about securities and the companies that issue them.

Aside from administering and enforcing federal securities laws in order to maintain fair, honest and efficient markets, NYCRB has continuously committed itself to disseminating information to the investing public in a timely and efficient manner, one channel of which is through its website that offers the public a wealth of informational resources.

Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the NYCRB works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators and various private sector organizations.

News and Updates
New York court dismisses whistleblower's libel suit against UBS
May 24 2019
A New York appeals court has dismissed a U.S. whistleblower's $20 million libel suit against Swiss bank UBS, his former employer, concluding that statements the Zurich-based bank made about him were... ...
First net inflows into global equities in 10 weeks: BAML
May 24 2019
Investors have added to their global equity holdings for the first time in 2-1/2 months and continued to pile into bonds, Bank of America Merrill Lynch said on Friday, as worries about the U.S.-China... ...
D.E. Shaw's top shareholder activist Koffey leaves hedge fund
May 24 2019
Hedge fund manager Quentin Koffey, who joined D.E. Shaw & Co two years ago from Elliott Management Corp to lead its shareholder activism strategy, has left to join Senator Investment Group LP, the... ...
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