There are 180 firms that are regulated twice (both NYSE and NASD). I
would like to know who the 180 firms are that have the overlap (see
article for backgroud and reference point).
http://www.nytimes.com/2005/11/12/business/12wall.html |
Request for Question Clarification by
answerfinder-ga
on
15 Nov 2005 01:16 PST
Dear ted40-ga,
I have been unable to find one source for this information. However, I
have found a way to compare information from the NYSE database with
the NASD database. It is rather long winded operation and will take a
long time to find and check for all 180 firms. The biggest problem
though is that I feel the Terms and Conditions on the NASD database
are quite restrictive as to how it is to be used and I believe that I
will be in breach of those (and in turn Google Answers? researcher
guidelines) if I do the research and post the information here.
So, I am offering by way of an answer a guide as to which web pages to
go to and how conduct the research yourself.
I have no objection should you wish to lower the price of the question
as appropriate for this answer.
Or you could leave it in case another researcher can find the answer.
An alternative is to approach the NYSE and see whether they could
supply the information.
Let me known what you think.
answerfinder-ga
|
Clarification of Question by
ted40-ga
on
15 Nov 2005 05:55 PST
i trust your opinion on the terms and conditions and would not want
you to violate anything in any way but listing out the names of the
firms is nothing other than public infomration as these firms are all
mentioned on the public site of nscc.com. I posting the question for
the cross analsysi of the firms due to my time limitation
|
Request for Question Clarification by
pafalafa-ga
on
16 Nov 2005 08:10 PST
Ted,
I've been looking at this question, along with my colleague, answerfinder-ga.
Although it's possible, in principle, to cross-list the NASD and NYSE
firms, there's no simple (i.e. non-extremely-tedious) way that I can
find to do it.
I did manage to list the NYSE stocks that are classified as investment
brokers -- preumably these are the ones that are regulated by NASD as
well. However, there are far fewer than 180 companies in this
category, so I'm not sure where the others may reside.
I'll let you know if I can come up with anything more creative, but at
the moment, that's as far as I've gotten.
pafalafa-ga
|
Clarification of Question by
ted40-ga
on
20 Nov 2005 07:11 PST
To clarify I am looking for the member firms and not the stocks that
are listed on both exchanges. Let me know how much of this
information you have and we can take it from there.
|
Request for Question Clarification by
answerfinder-ga
on
22 Nov 2005 06:20 PST
I have come back to this and carried out the research. However, I have
only found 142 broker firms. Is this list acceptable? Before giving
your answer, let me take through how this list was obtained.
The NYSE has a Member Firm directory
http://www.nyse.com/Frameset.html?displayPage=http://apps.nyse.com/commdata/MFRMemberFirms.nsf/vwMemberListCat?openview&RestrictToCategory=A&Count=250
I took the names from this list and compared them with those entered
on the NASD database. The 142 listed dealers are those which are
shown as registered at the NASD and NYSE as Broker /Dealers
http://pdpi.nasdr.com/PDPI/
Try a search on Paris Securities Corporation as an example.
If you accept the research I shall post to a link from where you can
download the spreadsheet.
answerfinder-ga
|
Clarification of Question by
ted40-ga
on
22 Nov 2005 06:57 PST
Yes - that works. Thanks!
|
,
0 Comments
)