TITLE

SEC Looking at SROs, But Munis Are Less of a Concern, Sources Say

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2003
SOURCE
Bond Buyer;10/31/2003, Vol. 346 Issue 31752, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the U.S. Securities and Exchange Commission (SEC) is examining the governance structures of all self-regulatory organizations (SRO) in the securities markets, with a greater focus on those overseeing equities and corporate debt. SEC chairman William Donaldson's endorsement of the New York Stock Exchange's having an independent board to make regulatory and compensation decisions; Scope of the SRO review.
ACCESSION #
11279716

 

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