Under the Buttonwood Tree Just as the newspaper doesn't own the goods or provide the services it advertises, a stock exchange doesn't own the stocks and bonds it lists. Public corporations choose to list their stocks and bonds with an exchange for the same reason you might choose to take out a classified ad: the listings draw a steady pool of interested buyers and sellers, or investors. Investors "shop" for stocks and bonds at a …
showed first 75 words of 3501 total

showed last 75 words of 3501 total
…member firms to enforce compliance with financial and operational requirements, periodic checks on broker's sales practices, and the continuous monitoring of specialist operations. Regulations protect the integrity of the marketplace, member firms, and most importantly, the customer. The NYSE is the most active self-regulator in the securities industry. Transactions, worth billions of dollars, circulate through the Exchange each day. The Exchange strictly enforces regulations to ensure these transactions are executed properly and fairly ------------------------------------------------------------------------ **Bibliography**