Why do we need self-regulatory organizations? – Cook
Broad questions on the rationale for SROs in the securities industry provide a starting point for the regulator to review and hone its mission, says CEO Robert Cook.
This is an edited version of a speech given March 24 by Robert W. Cook, president and CEO of the Financial Industry Regulatory Authority Inc., at the New Special Study Conference at Columbia University in New York.
Self-regulation was first codified in the federal securities laws more than 80 yea
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