NASAA questions SRO-regulation harmonization
State regulators are questioning whether some of the “harmonization” of rules of the regulatory operations of NASD and the New York Stock Exchange will harm investor protection
IRVINE, Calif. — State regulators are questioning whether some of the “harmonization” of rules of the regulatory operations of NASD and the New York Stock Exchange will harm investor protection.
The North American Securities Administrators Association Inc. of Washington, which re
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