Commentary

Richard Repetto
Traders Magazine Online News

Why Do Exchanges Own Multiple Licenses? It's Not Hard To See, Look at the SEC

In this recent research note, Sandler O'Neill + Partners, L.P. Principal Richard Repetto examines why the public exchange operators hold multiple licenses and that rationale behind this phenomenon.

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November 10, 2009

Tackling Regulation and Markets

By Editorial Staff

A Fordham University conference last month addressed ethics on Wall Street, and how regulations continue to shape global markets. "Enhanced Regulation: Integrity in the Global Financial Markets" was sponsored by Fordham's College of Business Administration and accounting firm KPMG. Fordham board of trustees chairman John Tognino emceed the Oct. 1 and 2 event, which took place at the school.

Lisa Utasi, the president of the Security Traders Association of New York, discussed industry ethics on a panel with three other equities pros. She shared the stage with Marty Cunningham, president and CEO of market-making firm Hudson Securities; Carolyn Dolan, founding principal with Samson Capital Advisors; and Doreen Mogavero, president of Mogavero, Lee & Co. Nasdaq OMX Group chief executive Robert Greifeld also spoke to conference attendees.

 

 

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