Tag: New York Stock Exchange Regulation

New York Stock Exchange Regulation (NYSE Regulation) has announced that ING Financial Markets LLC (ING) has agreed to pay $5 million to settle charges for improperly handling “pre-released” American Depository Receipts (ADRs). This settlement stems from NYSE Regulation’s investigation into improper conduct by ING’s securities lending desk from 2007 into 2015. A former employee on…