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A New York Stock Exchange hearing panel decision against an Albany, N.Y.-based broker/dealer has targeted prohibitions on information sent in draft research reports to public companies. A New York Stock [...]

Relational Investors LC has asked the Securities and Exchange Commission to determine that the New York Stock Exchange violated its own rules when it approved Sovereign Bancorp Inc.'s agreement to [...]

Guaranteed Volume-Weighted Average Price trades, in the wake of regulators' investigations, are coming under heavy fire by brokerage execs and academics. 'We encourage closer scrutiny and examination of these trades,' [...]

The New York Stock Exchange's regulatory arm has been vigorously investigating institutional trading violations. 'The Big Board wants to prove to people that it is serious about regulation. They're getting [...]

Rebates *Some may think that rebates and access fees will not survive or will be eventually reduced to insignificance. But not officials of the National Stock Exchange, which was previously [...]

The Senate Banking Committee, and its subcommittee on Securities and Investment, are each holding hearings on the state of the securities industry. As Traders Magazine went to press, these hearings [...]

Dick Grasso, the New York Stock Exchange's chairman, is to give up $48m in future pay following a row over his acceptance of nearly $140m in accumulated compensation--a payout which [...]

NYSE Chairman Richard Grasso's $140 million accumulated paycheck has raised the ire of SEC Chairman William Donaldson, who fired off a letter to the Big Board on Tuesday demanding an [...]

The dollar amounts that may have been skimmed off by some specialists in the front-running style scandal at the New York Stock Exchange could come as the biggest shock, according [...]

New York Stock Exchange examiners are reviewing of online broker/dealers' complaint handling techniques and banging heads with them over what should be recorded as a complaint, according to compliance officials [...]

The role specialists play in executing customer orders has come into question after 15 former specialists were charged with mishandling trades and essentially cheating customers at the New York Stock Exchange. In the options market as well, proposals sent to Capitol Hill could change the way investors' option orders are filled, and in turn, adversely affect the specialist firms executing these trades.

The New York Stock Exchange is scrutinizing trading records at large broker/dealers. The probe stems from a Securities and Exchange Commission and NASD $79 million settlement with Knight Securities after [...]

The New York Stock Exchange has started sending examiners to inspect overseas branches of U.S.-based broker/dealers. 'Regardless where the location is, the NYSE will conduct examinations if necessary,' said Michael [...]