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Roberta S. Karmel, Centennial Professor of Law at Brooklyn Law School and codirector of the Dennis J. Block Center for the Study of International Business Law, writes that recently, the NYSE and the NASD separated their market and regulatory functions into separate entities, so that the Nasdaq and the NYSE operate as public corporations independent of FINRA and one another. Nevertheless, although the NYSE and NASD no longer generally regulate their members, they do continue to regulate their own markets.
December 20, 2007 at 12:00 AM
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