Group Launches FOIA Request Re FINRA

Law360, New York (August 03, 2007, 12:00 AM ET) -- An advocacy group for NASDAQ members wants to compel some documents related to the creation of the Financial Industry Regulatory Authority (FINRA) as part of its continued opposition to the brand-new self-regulatory organization for companies that trade on the NASDAQ and New York Stock Exchange.

Richard L. Goble, the president of the Financial Industry Association, filed requests with the U.S. Securities and Exchange Commission under the Freedom of Information Act Wednesday asking to know what materials the SEC examined as part of its approval process of...
To view the full article, take a free trial now.
Try Law360 for free for seven days
Already a subscriber? Click here to login

Already have access?

  1. Forgot your password?
  2. Sign In

Get instant access to the one-stop news source for business lawyers

Required