Waters 10/04

POSITION KEEPING

NYSE Eyes Marchman for Market Surveillance

The New York Stock Exchange (NYSE) has named Robert A. Marchman, the former senior vice president of the Enforcement division at the NYSE, as the head of market surveillance. Marchman will oversee the division responsible for monitoring trading in NYSE-listed securities and investigating activity for compliance with exchange and federal securities laws. Marchman will report to Richard Ketchum, chief regulatory officer, and he will also be responsible for

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DORA stalls over identifier dispute

A disagreement over how to classify third-party tech providers on a reporting form known as the “register of information” has held up preparations for the highly anticipated operational resiliency rule in Europe.

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