Article: Supporting--and Improving--SRO Consolidation.

Article: Proposed SRO's governance faulted; Diluting voting clout ...
Investment News;  January 15, 2007 ;     700+ words ... ... requires that members of an SRO have "fair representation ... independent board members of the new SRO not be elected by members ... Colo.-based director of investor protection at the Consumer Federation ... board, she said. The new SRO might have some issues with ...

Article: SEC's SRO Rule Filings Plan Gets Slammed From All ...
Securities Industry News;  April 23, 2001 ;     700+ words ... ... thorough review of proposed SRO rules. The Mercatus Center ... the proposed accelerated SRO rulemaking procedures "because ... not believe they will enhance investor protection and provide greater regulatory ... SIA argues that permitting SRO rules, and in particular those ...

Article: NSE members association seeks SRO status (for sunday).
PTI - The Press Trust of India Ltd.;  April 8, 2007 ;     652 words ... ... NSE members association seeks SRO status (for sunday) New Delhi ... Self Regulatory Organisation (SRO) for depository participants ... regulator SEBI for ensuring investor protection through effective and efficient ... Nirmal K Agarwal told PTI. SRO is a non-governmental body ...

Article: Bumps Emerge On Road to Completion Of SRO ...
Securities Industry News;  June 11, 2007 ;     700+ words ... ... the board of the consolidated SRO. "The merger gives small ... Securities Commission, said that "investor protection could be weakened under the structure of the consolidated SRO" because, among other things ... system contemplated for the new SRO. Currently, most broker ...

Article: Regulation: NASD, NYSE Regulation to Form One SRO as Soon ...
The Bond Buyer;  November 29, 2006 ;     700+ words ... ... only one market." The new SRO would combine NASD's 2 ... within, the industry The new SRO will be responsible for the ... I trust their mission of investor protection will continue unabated and ... to assist the new combined [SRO] toward accomplishing this ...

Article: The NASD in the SRO Debate.(National Association of ...
Securities Industry News;  March 20, 2006 ;     700+ words ... ... regulatory organization (SRO), NYSE Regulation, is structured ... Our market integrity and investor protection responsibilities include rule ... regulation in a completely separate SRO, two separate managements ... release examining the current SRO system and sought public comment ...

Article: Grasso Doesn't Get It: Since the SEC never holds SRO execs ...
On Wall Street;  May 1, 2003 ;     700+ words ... ... isn't oversight of SRO management the SEC's ... Shouldn't you be holding SRO execs like Dick Grasso ... later called on public SRO board members to be more ... in speaking out about investor-protection issues. Apparently unbeknownst ...