Analysis
FINRA's rulebook consolidation not expected to affect AML compliance (Jul 31 2007)
The regulatory functions of NASD and NYSE Regulation have officially merged to create a new self-regulatory organization, the Financial Industry Regulatory Authority, or FINRA, and now are working to forge a consolidated rulebook.
NASD spring conference: the wait is on (May 24th)
With a formal schedule for consolidating with its New York Stock Exchange counterpart, NASD has announced structural and organizational moves involving member regulation, enforcement, dispute resolution and technology.
End in sight for NYSE Regulation? (January 19th)
Susan Merrill, chief of enforcement for NYSE Regulation, showed her gentler side in a set of remarks in advance of today's vote on the proposed merger of her agency and the NASD.
Judge dismisses challenge to NASD-NYSE consolidation (May 4th)
NASD chairman and chief executive officer Mary Schapiro is scheduled to testify today before the Senate Banking Committee on her agency's pending merger with the New York Stock Exchange's regulatory wing.
SRO consolidation: a many-headed dragon? (December 8th)
Consolidating the regulation of the securities industry is not going to be as seamless as many may think. That was the impression conveyed by an expert panel at the recent Securities Industry and Financial Markets Association Operations Update conference in New York.
Complinet Commentary