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ARTICLE · 10 MAY 2010

Corporate and Financial Weekly Digest - May 7, 2010

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NYSE Euronext and the Financial Industry Regulatory Authority recently announced an agreement under which FINRA will assume responsibility for performing market surveillance and enforcement functions for the New York Stock Exchange, NYSE Arca and NYSE Amex.

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Article by Robert L. Kohl and David A. Pentlow

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FINRA to Assume Responsibility for Regulating NYSE Euronext Markets

NYSE Euronext and the Financial Industry Regulatory Authority recently announced an agreement under which FINRA will assume responsibility for performing market surveillance and enforcement functions for the New York Stock Exchange, NYSE Arca and NYSE Amex. FINRA already provides these types of regulatory services for NASDAQ Stock Market, NASDAQ Options Market, NASDAQ OMX Philadelphia, NASDAQ OMX Boston, The BATS Exchange and The International Securities Exchange. The announcement states that the effective date for the arrangement is expected to be at or prior to the end of June, subject to approval by the Securities and Exchange Commission.

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