NYSE Regulation

  • NYSE, NASD Set to Combine with Schapiro as Head of New SRO

    By Janet Levaux, AdvisorOne  |  January 1, 2007

    After all but announcing the deal during the Nov. 8-10, 2006, Securities Industry and Financial Markets Association (or SIFMA) launch in Boca Raton, Fla., NASD...

  • Moving Fast on New SRO

    By Staff Writer  |  November 28, 2006

    The NASD and NYSE have signed a letter of intent to form a new self-regulatory organization (SRO) that combines the regulatory arms of the NASD...

  • Three-Part Harmony

    By Staff Writer  |  November 13, 2006

    If what SEC Chairman Christopher Cox and NASD Chairman and CEO Mary Schapiro each spoke of at the Securities Industry and Financial Markets Association (SIFMA) conference in Boca Raton on November 9 and 10 comes to pass, a harmonious set of rules from the NASD and NYSE, and a unified...