NASD Sweep Targets Broker-Dealers, MSRB Forum Hears
- Banks back NASD uniform disclosure plan. de Senerpont Domis, Olaf // American Banker;7/8/1997, Vol. 162 Issue 129, p4
Reports on the support of banks for the National Association of Securities Dealers' (NASD) proposal of uniform disclosure of all member broker-dealers in the United States. Need for the NASD to require all members to make the same disclosures; Selling of both uninsured and insured products by...
- More information on bad brokers. Rose, Joan R.; Potter, Debra // Medical Economics;8/21/95, Vol. 72 Issue 16, p226
Announces that the National Association of Securities Dealers is overhauling its database containing broker misdeeds. Central Registration Depository; Information on brokers with securities violations; Possibility of data on pending arbitration; Contact information.
- NASD cracking down on wayward brokers. // Financial Planning;Sep97, Vol. 27 Issue 9, p30
Reports on the National Association of Securities Dealers' (NASD) crackdown on brokers who violate securities laws and transfer to other firms when their brokerages are shut down. NASD's vote to change rules preventing brokers' discrimination lawsuit against employers.
- NASD Goes for Broke. // Treasury & Risk Management;Jul2000, Vol. 10 Issue 5, p23
Focuses on the establishment of the National Association of Securities Dealers (NASD) Insurance Agency, an electronic-driven brokerage in the United States. Insurance products and risk consulting services offered by the agency; Reason for the establishment of NASD Insurance Agency; Rate offered...
- NASD tells brokers to set standards for mail review. Winokur, Cheryl // American Banker;1/15/1999, Vol. 164 Issue 10, p7
Focuses on the requirement of the National Association of Securities Dealers Inc. for American brokerage firms to set policies for the review of their clients' written communication. Assurance on the processing of priority mail; Standard for the management of complaints.
- It's easier to get the dirt on bad brokers. Napach, Bernice // Medical Economics;04/27/98, Vol. 75 Issue 8, p25
States that brokers are required to disclose more information about work-related problems to the National Association of Securities Dealers (NASD), while highlighting changes which have been made to the rules of the NASD. When the changes are expected to be enforced; Web site address for the...
- NASDR Follows States in Banning Account TROs. Retkwa, Rosalyn // On Wall Street;Feb2002, Vol. 12 Issue 2, p11
Reports that the National Association of Securities Dealers Regulation (NASDR) passed a rule interpretation in December 2001 barring member firms from getting court orders that block the transfer of customer accounts to brokers who have left for other firms. Details of the rule; Change made by...
- NASD warns online brokers of rules; arbitration next? Tunick, Britt // Investment Dealers' Digest;4/9/2001, Vol. 67 Issue 14, pN.PAG
Reports that the National Association of Securities Dealers Inc. (NASD) in the U.S. has issued a reminder to online brokerage firms regarding the practices adopted by them for attracting investors. Acknowledgment of the role played by technology in benefiting investors; Level of value seen by...
- 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...