NASD vice-chair discusses merger and compliance trends
Doug Shulman, vice-chair of the National Association of Securities Dealers, an industry body and regulator for US securities regulators, spoke yesterday of his organisation’s merger with the New York Stock Exchange’s (NYSE) independent regulator, and up-and-coming regulatory issues.
Shulman was speaking at the annual compliance and regulatory affairs conference of the Association for Insured Retirement Solutions.
Mary Schapiro, chair and chief executive of NASD, announced the NYSE merger last week.
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