Year: 2006

In a speech to the Securities Industry and Financial Markets Association on November 10, 2006, SEC Chairman Cox endorsed current efforts to fold the member regulation functions of the NASD and NYSE into one regulatory body noting, “I’m firmly convinced …

Cox Calls For SRO Consolidation Read More »

In a speech on October 30, 2006 Enforcement Chief Linda Thomson reviewed the current status of the expanding option scandal, noting that the good news is that accounting and regulatory changes have probably caused the death knell of the practices. …

New Study May Cause Option Probes to Expand Read More »