SIA wants single self-regulatory organisation

Regulatory Update

In its recommendations, due this March, the SIA will urge the Securities and Exchange Commission (SEC) to combine the multiple SROs into one body to eliminate duplication and redundancy.

Currently, SROs are responsible for conducting inspections, examinations, audits, surveillance and enforcement in their own member firms. This, analysts believe, exposes SROs to possible conflicts of interest as they list and trade their own or affiliated securities.

The hybrid SRO would be responsible for

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