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Special Report
The New SRO Era
Though the Financial Industry Regulatory Authority will soon celebrate its one-year anniversary, the process of integrating its predecessor self-regulatory organizations continues. Calling the consolidation of staff and technology “fairly daunting,” Stephen Luparello, Finra’s head of regulatory operations, says that, in bringing the separate rulebooks together, “we will make significant progress during 2008, which will extend into 2009. There will be no single ‘big bang.’” Also in this report: NYSE Regulation’s role in a post-Finra world; and the place of principles-based regulation in an integrated rulebook.
Contents
Finra's Progress and Priorities
As the Financial Industry Regulatory Authority nears its one-year anniversary, its head of regulatory operations discusses the challenges that remain in the integration of its predecessors.
Post-Finra, NYSE Regulation Focuses on Trading
While the merger of NASD and the Big Board's member-regulation functions gave the industry a consolidated self-regulatory organization, NYSE Regulation has hardly become irrelevant.
Rulebook Consolidation: Devil in the Principles-Based Details?
As the Financial Industry Regulatory Authority considers using a principles-based approach in some areas of its integrated rulebook, the debate continues: Can prescriptive rules be replaced with conceptual guidelines?
What Are Finra Examiners Looking for?
The Financial Industry Regulatory Authority's market regulation division wants broker-dealers to be "well armed to assess their compliance operations," according to its 2008 exam priorities letter.
Recent Special Reports
OTC Derivatives
Contents
Outsourcing Taking Hold in Derivatives Processing
Wanted: CCP Services for OTC Derivatives, Now
Study: Firms Turning to Third Parties for Derivative Valuations
Best Execution & Transaction Cost Analysis
Contents
Race Is On for Alpha-Based Algos
Best-Execution Mandates Pushing TCA Adoption
Asia-Pacific: Best-Execution Regulations on the Way?
Special Reports Index
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