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NASD has sold part of its stake in the Nasdaq market and intends to eventually be just a regulatory organization.
The plan recommends that investment advisers no longer be directly regulated by the commission, but instead be supervised by an industry regulatory organization.
A new ratings classification for video games has been introduced by the Entertainment Software Rating Board, the regulatory organization established by the Entertainment Software Association in 1994.
Wall Street's self regulatory organization, the Financial Regulatory Authority, has suspended a California-based broker for sending a series of "misrepresentative and unbalanced" messages on the microblogging site Twitter.
The Squam Lake group also concluded that each country should have a single regulatory organization -- in the United States, ideally the Fed -- to oversee the health and stability of the financial system.
Due to the absence of any regulatory organization, forensic science has no official recognition or registration that should provide certain rights and responsibilities to forensic scientists.
Similar(28)
Mr. Lawsky's office added that the S.E.C. had anticipated that Mr. Falcone's settlement "may have collateral consequences under federal or state law and the rules and regulations of self-regulatory organization, licensing boards, and other regulatory organizations".
Like the oversight board, NASD is a self-regulatory organization.
NASD, the nation's largest self-regulatory organization, also expressed concern about Mr. Purcell's comments at the conference on Tuesday.
"This is no longer a purely private, self-regulatory organization because they're working hand in glove with government prosecutors.
NASD has tried to sell its oversight services to other markets, and is the self-regulatory organization for the International Securities Exchange.
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