NASD CEO and Chairman Mary Schapiro told attendees at the Securities Industry and Financial Markets Association conference in Phoenix last month that in order to maintain their effectiveness, regulators such as NASD, which oversees 5,000 financial services companies, must “evolve at the same pace as today’s capital markets.” What this means, she said, is that regulators must “be more sophisticated in understanding and accommodating different business models without compromising investor ...

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