{"id":4520,"date":"2007-11-05T02:31:51","date_gmt":"2007-11-05T02:31:51","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/11\/finra_says_consolidating_nyse"},"modified":"2022-03-28T14:34:52","modified_gmt":"2022-03-28T19:34:52","slug":"finra-says-consolidating-nyse","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-says-consolidating-nyse\/","title":{"rendered":"FINRA Says New Rule Book Consolidating NYSE and NASD Rules Might Not Be Completed Until 2009"},"content":{"rendered":"

FINRA enforcement chief Susan Merrill announced at a Practising Law Institute Gathering on “Coping with Dealer\/Broker Regulation and Enforcement” that the Financial Industry Regulatory Authority rulebook, which consolidates NASD and NYSE Rules might not be completed until the end of 2008 or even into 2009.<\/p>\n

Merrill said that the consolidation is causing FINRA to ponder whether different kinds of firms should be regulated differently and whether it makes sense to use principle-based standards more frequently.<\/p>\n

Merrill says that different groups, including employees previously with NYSE and NASE, are looking at the different rules and trying to figure out how to best merge the two systems.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

FINRA enforcement chief Susan Merrill announced at a Practising Law Institute Gathering on “Coping with Dealer\/Broker Regulation and Enforcement” that the Financial Industry Regulatory Authority rulebook, which consolidates NASD and NYSE Rules might not be completed until the end of 2008 or even into 2009. Merrill said that the consolidation is causing FINRA to ponder […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739],"tags":[],"class_list":["post-4520","post","type-post","status-publish","format-standard","hentry","category-finra"],"yoast_head":"\nFINRA Says New Rule Book Consolidating NYSE and NASD Rules Might Not Be Completed Until 2009 — Investor Lawyers Blog — November 5, 2007<\/title>\n<meta name=\"description\" content=\"FINRA enforcement chief Susan Merrill announced at a Practising Law Institute Gathering on "Coping with Dealer\/Broker Regulation and Enforcement" that the — November 5, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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