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The internal regulators of the New York Stock Exchange and Nasdaq may team up to better police their member firms. However, complete dependence on governmental regulation "would be a tragic mistake," NYSE chief regulatory officer Richard Ketchum said during a hearing of the House Capital Markets Subcommittee. Although NYSE and NASD officials may have their hands full getting these two fierce competitors to play nice, both of the exchange police chiefs were clear about the benefits of cooperation.
November 22, 2005 at 12:00 AM
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The original version of this story was published on Law.Com
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