TITLE

SEC to Consider Draft Rules on SRO Governance, Disclosures

AUTHOR(S)
Hume, Lynn
PUB. DATE
November 2004
SOURCE
Bond Buyer;11/4/2004, Vol. 350 Issue 32004, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the U.S. Securities & Exchange Commission's plans to consider draft rules that would require the National Association of Securities Dealers and the securities exchanges to improve governance and disclosure practices. Proposal to restrict ownership and voting levels of individual members of self-regulatory organizations; Controversy over former New York Stock Exchange chairman Richard Grasso which prompted the commission to create the draft rules.
ACCESSION #
14951604

 

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