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Company: NYSE Regulation Inc.

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Agreement aims to improve investor protection by establishing a unified approach to market oversight

FINRA, NYSE Regulation to split responsibilities

Several Wall Street firms were sanctioned by NYSE Regulation Inc. for certain violations related to their front-end systemic capture systems.All of the firms (Bear Stearns & Co., Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., and Morgan Stanley & Co., Inc.) consented without admitting or denying guilt to findings […]

  • By: IE Staff
  • May 7, 2008 December 14, 2017
  • 13:35