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 […]