Regulatory Coordination / Consolidation
RELATED LINKS
ICI
- Investment Company Institute (ICI) - NEW!
FSI
- Financial Services Institute (FSI) - pdf, NEW!
GAO
- GAO Report on SRO duplication - pdf, May 2002
NAIBD
- National Association of Independent Broker Dealers (NAIBD) pdf, - NEW!
NASAA
- North American Securities Administrators Association (NASAA) - NEW!
NYSE
- Speech by Richard G. Ketchum, Chief Regulatory Officer, New York Stock Exchange, to SIA Compliance and Legal Division Annual Seminar - April 4, 2005
- Speech by Mary Schapiro, Vice Chairman and President, Regulatory Policy and Oversight, SIA Compliance and Legal Division Annual Seminar - April 4, 2005
SEC
- SEC’s Nazareth Remarks on SRO Consolidation - NEW!
- SEC Concept Release on SRO reform - March 8, 2005