Securities Police Go High-Tech

摘要

When NYSE Regulation sends a team of examiners into the field to review a member firm's financial operations or sales practices, the securities police are wired into the exchange's vast databases and regulatory systems. Today's NYSE examiners are high-tech road warriors armed with laptops, scanners and wireless cards who can remotely plug into the NYSE's Member Firm Regulation (MFR) Portal — an intranet-based set of applications.