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Financial regulation / Economy of the United States / Securities Exchange Act / U.S. Securities and Exchange Commission / Financial system / Elisse B. Walter / Mary Schapiro / United States securities law / Self-regulatory organizations / Financial Industry Regulatory Authority


SECURITIES AND EXCHANGE COMMISSION
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Document Date: 2009-05-22 16:56:39

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Company

Dealer/Insurance Affiliate Governor / NASD Regulation Inc. / Securities Dealers Inc. / FINRA Regulation Inc. / Small Firm / New York Stock Exchange Regulation Inc. / Financial Industry Regulatory Authority Inc. / New York Stock Exchange / NYSE Regulation / /

Event

Name Change / Reorganization / Company Expansion / /

IndustryTerm

regulatory subsidiary / /

Organization

National Association of Securities Dealers / Securities and Exchange Commission / Division of Trading and Markets / FINRA / /

Person

Florence E. Harmon / /

Position

Mid-Size Firm Governor / Governor / Investment Company Affiliate Governor / Governor / Mid-Size Firm Governor / and Large-Firm Governor / Deputy Secretary / Chief Executive Officer / Mid-Size Firm Governor / and three Large-Firm Governors / /

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