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: Securities Law Prof Blog

FINRA Will Take Over NYSE Reg Surveillance and Enforcement Functions

By Securites Lawprof

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NYSE Euronext (NYSE: NYX) and the Financial Industry Regulatory Authority (FINRA) today announced that they have agreed that FINRA will assume responsibility for performing the market surveillance and enforcement functions currently conducted by NYSE Regulation. The agreement is subject to...

Full post as published by Securities Law Prof Blog on May 04, 2010 (boomark / email).

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