TITLE

Post-Finra, NYSE Regulation Focuses on Trading

AUTHOR(S)
Groenfeldt, Tom
PUB. DATE
May 2008
SOURCE
Securities Industry News;5/19/2008, Vol. 20 Issue 20, p9
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article focuses on the New York Stock Exchange (NYSE) Regulation after the formation of the Financial Industry Regulatory Authority (Finra). According to Chief Executive Officer (CEO) Richard Ketchum, the activities NYSE Regulation retained following the merger of the National Association of Securities Dealers (NASD) and the Big Board's member-regulation functions are the ones that are best performed by the organization. The NYSE Regulation can focus on trading activity with Finra centered on brokerage firms.
ACCESSION #
32152838

 

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