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

Preston, Darrell
January 1998
Bond Buyer;01/09/98, Vol. 323 Issue 30307, p30
Trade Publication
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.


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.

  • 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 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...

  • 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.

  • NASD to Dealers: Report Trades on Time. Hume, Lynn // Bond Buyer;04/12/2001, Vol. 336 Issue 31117, p5 

    Reports that the National Association of Securities Dealers is reminding dealers that they must accurately report information from their municipal securities trades on a timely basis to the Municipal Securities Rulemaking Board. Tarde processing function.

  • Agreement between UK and US securities bodies.  // Accountancy;Dec1988, Vol. 102 Issue 1144, p42 

    Reports that the Securities Association and the U.S. National Association of Securities Dealers have reached a reciprocal agreement to share their disciplinary records.

  • Banks Praise Planned NASD Curbs on Broker Pay . WINOKUR, CHERYL // American Banker;9/9/1999, Vol. 164 Issue 173, p11 

    Reports that several bank brokerage executives are applauding attempts by the regulatory arm of the National Association of Securities Dealers (NASD) Inc. to address questionable compensation practices at NASD-member firms. Prohibition of member firms from paying brokers more to sell...


Read the Article


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

Try another library?
Sign out of this library

Other Topics