FINRA and SEC Rules and Regs Update

The Financial Industry Regulatory Authority recently held its first Spring Securities conference in Hollywood, Fla. One of the subjects that came up repeatedly was the issue of rule book consolidation.

When NASD and the regulation arm of the New York Stock Exchange merged last year to form FINRA, the regulatory body predicted it would have a consolidated rule book in place by the end of 2008. Now, FINRA officials speaking at the conference acknowledged that “it will take years” to com

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