NYSE Regulation

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  New Hire Roundup: Westport Resources Promotes DeLaura

  By Marlene Y. Satter, AdvisorOne  |  May 1, 2013

  This week in new hires, Westport Resources promoted Christopher DeLaura and added Ashley Schexnaildre, and Susan Axelrod was promoted and Jonathan Sokobin was added by FINRA.

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  FINRA Names Its First EVP of Regulatory Ops

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  FINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.

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  FINRA Up to Its Old Tricks With SRO Strategy Shift

  By Bob Clark, AdvisorOne  |  February 12, 2013

  FINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.

• 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...