Nyse regulation - PowerPoint PPT Presentation

Third ICAC Symposium

Third ICAC Symposium The New York Stock Exchange – A Regulator and a Listed Company James F. Duffy Executive Vice President &amp; General Counsel NYSE Regulation, Inc. Third ICAC Symposium.

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387 views • 13 slides

Third ICAC Symposium

Third ICAC Symposium The New York Stock Exchange – A Regulator and a Listed Company James F. Duffy Executive Vice President &amp; General Counsel NYSE Regulation, Inc. Third ICAC Symposium.

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161 views • 13 slides

Demutualization and Self-regulation: The Evolution of FINRA in the US

Demutualization and Self-regulation: The Evolution of FINRA in the US. October 22, 2008 Jeanne Balcom Financial Industry Regulatory Authority (FINRA). Financial Industry Regulatory Authority (FINRA) Today. Formed through the merger of NASD and NYSE

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314 views • 10 slides

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