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To: Dan Clark who wrote (6689)	1/30/2000 6:32:00 AM
From: LPS5	Read Replies (1) of 18137

"The driving force behind this is the NYSE and NASD, NOT the regulators." The NYSE and NASD are very much the regulators, Dan. In fact, they're called SRO's - the self-regulatory organizations - of the securities industry. They were designated as such a long, long time ago so the governmental body (SEC) wouldn't have to get involved in every piddly little dispute between customers and brokerage entities. Among other things, the SEC has the muscle of Federal authority and can overturn NYSE or NASD rulings. Look at the caption under "Commission Opinions": sec.gov You might also want to check these out. nasdr.com nyse.com LPS5

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