TITLE

SEC and Finra Clash on Mutual Recognition

AUTHOR(S)
CURTIS, CAROL E.
PUB. DATE
December 2008
SOURCE
Securities Industry News;12/15/2008, Vol. 20 Issue 42, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article offers information on the different views of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulation Authority (Finra) on an initiative that would loosen restrictions on overseas exchanges and broker-dealers doing business in the U.S. The SEC announced an agreement with Australian regulators to extend mutual recognition to both countries' trading venues and financial firms. As stated, the agreement would not preserve the protection for U.S. investors and the provisions of Finra.
ACCESSION #
36099661

 

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