NASD, NYSE Getting Regs in Line

The regulatory environment may be getting a little easier to manage, at least for some financial services companies.

NASD and the New York Stock Exchange are discussing ways to bring their regulatory rule books into line. In a speech at the Security Traders Association Annual Conference on Oct. 12, NASD Chairperson and CEO Mary Schapiro said, “The need for streamlining regulation is nowhere more obvious than to the roughly 200 firms that are members of both the NYSE and NASD, and are

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