NASD Files G-37 Complaint Against New Orleans Dealer
- H&R Block Unit Charged in Enron Case. Bloomberg News // American Banker;11/9/2004, Vol. 169 Issue 216, p22
Reports that the National Association of Securities Dealers charged H&R Block Inc.'s financial advisory unit with civil fraud for selling $16 million of Enron Corp. bonds in the weeks before the energy trader collapsed.
- Is Transparency Protection? Kite, Shane // Securities Industry News;8/9/2004, Vol. 16 Issue 27, p1
Focuses on the efficacy of the transparency measures proposed by the National Association of Securities Dealers to protect investors from abusive fixed-income pricing in the U.S. stock market. Revelation announced by Securities and Exchange Commission director Annette Nazareth on the fraudulent...
- NASD, clearers act to stem trading abuses. Santini, Laura // Investment Dealers' Digest;5/7/2001, Vol. 67 Issue 18, pN.PAG
Reports that the U.S. National Association of Securities Dealers is launching a surveillance program designed to help the regulator identify instances where a broker or dealer is trading illegally with customers' money. Reaction from clearing firms involved in the testing of the program; Reason...
- NASD warns exemptions from rule G-37 will not come easily. Hume, Lynn Stevens // Bond Buyer;10/20/97, Vol. 322 Issue 30255, p5
No abstract available.
- NASD Fines Bear Stearns for Failing To Factor Commissions into Yields. Hume, Lynn // Bond Buyer;1/16/2003, Vol. 343 Issue 31554, p6
Reports that National Association of Securities Dealers has fined U.S.-based Bear, Stearns Securities Corp. $30,000 for failing to comply with commissions required under yield-to-maturity computations. Other allegations against the company; Provision under Municipal Securities and Rulemaking...
- NASD: Dealers Responsible for Accuracy, Timeliness of All Data. Hume, Lynn // Bond Buyer;01/04/2001, Vol. 335 Issue 31050, p5
Reports on the responsibilities of bond dealers in the United States according to the National Association of Securities Dealers. Accuracy of data on municipal securities trades; Qualification for 'No Business' exemption from Rule G-37.
- NASD Delays Trace, Citing Terror Attack. Kite, Shane // Securities Industry News;12/3/2001, Vol. 13 Issue 47, p30
Reports the issues affecting the launching of a corporate bond price reporting system by the National Association of Securities Dealers in the United States. Function of Trace (Trade Reporting and Compliance Engine); Extension of deadline of operation due to terrorist attacks; Issuance of...
- MarketAxess Mulls Repackaging of Trace Data. Kite, Shane // Securities Industry News;11/4/2002, Vol. 14 Issue 42, p21
Focuses on the proposal of the financial company Marketaxess about repackaging of the Trade Reporting and Compliance Engine (Trace) corporate bond data of the National Association of Securities Dealers on the trading site of the company. Aim of Trace system; Mandatory reporting of customer...
- NASD denies one request for G-37 waiver, OK's another. Hume, Lynn Stevens // Bond Buyer;07/15/98, Vol. 325 Issue 30435, p1
Reports on the National Association of Securities Dealers' (NASD) decisions regarding exemption of firms from Rule G-37's two year ban on negotiated deals in the United States. Granting of conditional exemption; Rejection of request for exemption; National Adjucatory Council's announcement of...