Financial Services Industry
Industry: Email Alert RSS FeedBig Board bumps up Ketchum's start date as chief regulator.
Financial News, March, 2004
The New York Stock Exchange, scrambling to get its house in order after high-profile missteps, has moved up the start date of its new chief regulatory officer to Monday.Richard Ketchum's arrival at the Big Board is nearly three months ahead of schedule. It comes as the Securities and Exchange Commission debates an overhaul of the self-regulation in US securities markets and whether to charge the New York Stock Exchange for failing to enforce its rules in connection with the recent investigation of allegedly improper trading on its own floor, according to people familiar with the matter.
The NYSE move follows a tentative regulatory pact, reached last month, in which the exchange's five largest floor-trading 'specialist' firms agreed to pay a total of $240m...
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