TITLE

NASD to target 80 more firms in Rule G-36 crackdown, official says

AUTHOR(S)
Preston, Darrell
PUB. DATE
January 1998
SOURCE
Bond Buyer;01/09/98, Vol. 323 Issue 30307, p30
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the National Association of Securities Dealers' (NASD) crackdown on more municipal securities firms for violations of Rule G-36 requiring underwriters to send official statements within certain time frames. Disclosure of NASD's plans by director of fixed-income securities Mac Northam; Concerns of market players about rules on pricing and markups of securities trades.
ACCESSION #
102001

 

Related Articles

  • NASD Officials Target Abrams for Excessive Markups.  // Bond Buyer;8/21/2003, Vol. 345 Issue 31703, p5 

    Reports on charges framed by enforcement officials of the U.S. National Association of Securities Dealers (NASD) against a financial firm Weiner Abrams & Co. for violation of federal securities fraud laws. Role of Jonathan B. Abrams, principal of the firm; Details of rules under which the firm...

  • NASD to Publish All G-37 Rulings. Hume, Lynn // Bond Buyer;8/27/2001, Vol. 337 Issue 31211, p1 

    Reports that the National Association of Securities Dealers will release all final rulings on dealer requests for relief from a temporary ban Rule G037 imposes on firms in the United States. Rules on political contributions; Prevention of dealers from engaging pay-to-play practices.

  • Ops, tech issues stymie extending trading hours. Stirland, Sarah // Securities Industry News;07/12/99, Vol. 11 Issue 27, p1 

    Reports on the likelihood of an extension of securities trading hours in the United States. National Association of Securities Dealers (NASD) head Frank Zarb's statement on the plan; Technological and operational issues related to the proposed extension; Measures undertaken by the NASD to...

  • NASD's ADF Blasted As Weak. Bresiger, Gregory // Traders Magazine;Jul2002, Vol. 15 Issue 199, p10 

    Deals with the criticisms on the Alternative Display Facility trading platform proposed by the National Association of Securities Dealers (NASD). Comments of Bloomberg Tradebook Chief Executive Officer Kevin Foley on the platform; Views on the impact of the proposed platform on competition;...

  • NASD's Trumbull unit will stay put. Khasru, B.Z. // Fairfield County Business Journal;06/14/99, Vol. 38 Issue 24, p1 

    Reports on the National Association of Securities Dealers Inc.'s plan to keep its operations in Trumbull, Connecticut, intact despite a possible relocation of the group's headquarters from Washington, D.C. to New York City. Intention to keep NASD Regulation Inc. in Washington, D.C.; Decision by...

  • NASD Votes to Restructure. Kite, Shane // Securities Industry News;04/17/2000, Vol. 12 Issue 15, p31 

    Reports that the majority of member securities firms of the National Association of Securities Dealers in the United States have voted to restructure the organization.

  • NASD Exempts Four Firms From G-37's Temporary Ban. Hume, Lynn // Bond Buyer;1/28/2003, Vol. 343 Issue 31561, p6 

    Reports that the National Association of Securities Dealers (NASD) has exempted four securities firms from the G-37's temporary ban on business after officials at those firms made contributions to issuer officials. Cases in which firm's officials were not involved; Reason for the exemptions...

  • New ID Number Could Add Phase 4 to Oats Implementation. Dabaie, Michael // Securities Industry News;03/27/2000, Vol. 12 Issue 13, p6 

    Reports that the National Association of Securities Dealers is expected to decide on rules that would define the time that firms must report orders to the Order Audit Trail System (Oats), and require firms to report an additional identification number that would add another phase to Oats...

  • Demutualization.  // Traders Magazine;Dec99, Vol. 12 Issue 160, p10 

    Reports on the plan of the National Association of Securities Dealers (NASD) to transform Nasdaq into a for-profit organization. Ownership stake that NASD would retain under the plan; View of NASD board.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics