New York is a two regulator town again. At least that’s the case when it comes out to self-regulation in the securities industry.
On Jan. 4, 2016, the New York Stock Exchange (NYSE)—now owned by Intercontinental Exchange—reassumed some of the regulatory responsibilities it yielded to the Financial Industry Regulatory Authority (FINRA), starting in 2007 when the NYSE and National Association of Securities Dealers (NASD) merged their self-regulatory functions.1 The goal then was to address inefficiencies and overlap that often resulted from the concurrent oversight by these two self-regulatory organizations (SROs).
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