Tag: Spitzer

Compliance

SEC Approves NASD, NYSE Analyst Rules – Who Benefits?

New regulations enacted to address analyst conflicts, and insure disclosure. Given the fact that such regulations already exist, who is benefiting from these new regulations? By Mark J. Astarita, Esq. On May 8, 2002, the SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC approved proposed rule changes by the NASD and the NYSE to address conflicts of […]