NASD Officials Target Abrams for Excessive Markups
- NASD Fines Former New Jersey Broker for Excessive Mark-Ups. Sanchez, Humberto // Bond Buyer;2/19/2004, Vol. 347 Issue 31824, p4
Reports on the penalty imposed by the National Association of Securities Dealers on Jonathan B. Abrams, former financial and operations principal of Weiner Abrams and Co. Charges filed by the association against Abrams; Failure of Abrams to establish, maintain and enforce firm written...
- 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 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.
- 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.