Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

A Member of the Law Professor Blogs Network

Tuesday, June 15, 2010

FINRA Assumes Regulatory Functions for NYSE Euronext's Equities and Options Markets

NYSE Euronext and FINRA announced that they have completed the previously announced agreement under which FINRA will assume responsibility for performing the market surveillance and enforcement functions currently conducted by NYSE Regulation. The agreement is effective immediately.  Under the agreement, FINRA will assume regulatory functions for NYSE Euronext's U.S. equities and options markets – the New York Stock Exchange, NYSE Arca and NYSE Amex. FINRA currently provides regulatory services to the NASDAQ Stock Market, NASDAQ Options Market, NASDAQ OMX Philadelphia, NASDAQ OMX Boston, The BATS Exchange and The International Securities Exchange.

http://lawprofessors.typepad.com/securities/2010/06/finra-assumes-regulatory-functions-for-nyse-euronexts-equities-and-options-markets.html

Other Regulatory Action | Permalink

TrackBack URL for this entry:

http://www.typepad.com/services/trackback/6a00d8341bfae553ef0133f120f927970b

Listed below are links to weblogs that reference FINRA Assumes Regulatory Functions for NYSE Euronext's Equities and Options Markets:

Comments

Post a comment