NYSE, NASD merger creates single SRO

REGULATORY UPDATE

The new venture, as yet unnamed, will launch in the second quarter of 2007 and be headed by Mary Schapiro, chairman of NASD. Operating out of Washington DC and New York and 18 district offices, the new venture will comprise the current 2,400-person NASD organisation and 470 of NYSE Regulation's member regulation, arbitration, and related enforcement team. It will be responsible for all member examination, enforcement, arbitration and mediation functions, as well as all other current NASD res

To continue reading...

You need to sign in to use this feature. If you don’t have a Risk.net account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an indvidual account here: