TITLE

Rulebook Consolidation: Devil in the Principles-Based Details?

AUTHOR(S)
Curtis, Carol E.
PUB. DATE
May 2008
SOURCE
Securities Industry News;5/19/2008, Vol. 20 Issue 20, p12
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article addresses the consolidation of the rulebook after the merger of the National Association of Securities Dealers (NASD) and the member-regulation arm of the New York Stock Exchange (NYSE). The rulebook harmonization process involves reviewing all existing NASD and NYSE rules and changing or removing those that are obsolete or duplicative. The process is expected to be completed in 2009.
ACCESSION #
32152839

 

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