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SEC Targets SROs For New Reforms

Traders Magazine, December 2004

Gregory Bresiger

Exchanges would have to maintain a separation between regulatory and market functions under proposed rules published by the Securities and Exchange Commission. Fines and fees would have to be devoted to regulatory purposes. The rules also mandate greater transparency. Exchanges would be required to post more information about their operations. Possibly, the most controversial part of the plan covers exchange ownership. [See Special Feature.]

Copyright 2005 Thomson Media Inc. All Rights Reserved. http://www.thomsonmedia.com http://www.tradersmagazine.com

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