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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
 
 
Guggenheim defeats lawsuit claiming it siphoned annuity unit's cash for LA Dodgers
July 16 2019
Guggenheim Partners won the dismissal of a lawsuit claiming it defrauded investors in a risky annuity, and siphoned cash for purposes including to help its billionaire chief executive Mark Walter buy... ...
 
 
 
Citigroup profit beats estimates on gains in consumer lending
July 15 2019
Citigroup Inc topped expectations for quarterly profit on Monday as a tight lid on costs and strength in consumer lending helped the third-largest U.S. bank counter weakness in its trading business. ...
 
 
 
Balyasny gains in first half after losses prompted reorganization in 2018
July 15 2019
 
Balyasny Asset Management, a Chicago-based hedge fund that shed $4 billion in assets last year and cut 20% of its staff, was back in positive territory for the first half of this year, suggesting its... ...
 
 
 
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