NASD: 6 Dealers Sold 529 Plans Mostly to Out-of-State Investors
- Money-Market Safety Net Nixed. DEROUSSEAU, RYAN // Money;Oct2012, Vol. 41 Issue 9, p16
The article discusses money-market mutual funds, examining an effort by U.S. Securities and Exchange Commission (SEC) chairman Mary Schapiro to increase the transparency of funds by making them report changes to net asset value (NAV) and suggesting that readers could put their money in bank...
- Rule Scrubbing Underway at NASDR. // On Wall Street;Jun2001, Vol. 11 Issue 6, p17
Reports on the review and modernization of the NASD Regulation (NASDR) rules. Remarks from Mary Schapiro, president of NASDR; Areas where the NASDR would focus; Usage of the Integrated National Surveillance and Information Technology Enhancements surveillance system.
- SEC and FINRA Enforcement in 2009 Year-to-Date: The Handcuffs Are Off. // Venulex Legal Summaries;2009 Q2, Special section p1
The article focuses on the securities enforcement activities of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) for the year as of May 26, 2009. Cited are SEC settlements relating to broker-dealers involving larger fines that have been...
- SEC Votes to Propose Revamp of 12b-1 Fees. Ackerman, Andrew // Money Management Executive;7/26/2010, Vol. 18 Issue 30, p1
No abstract available.
- Schapiro Will Succeed Glauber as NASD Chairman. Curtis, Carol E. // Securities Industry News;1/16/2006, Vol. 18 Issue 2, p18
Announces the proposed appointment of Mary L. Schapiro as chairman and CEO of the National Association of Securities Dealers. Characteristics of Schapiro that led to her nomination; Responsibilities that the position requires; Career background of Schapiro.
- NASD Revises Sanctions Guidelines. // ComplyNet;Sep2006, p5
The article reports that the National Association of Securities Dealers (NASD) has issued modifications to its sanctions guidelines in the U.S. in 2006. The modifications aimed to clarify that adjudicators should consider a registered firm's size and available resources when imposing monetary...
- Brokerage Firms Pay for Incentive Violations. Bassett, Michael // Corporate Meetings & Incentives;Jun2004, Vol. 23 Issue 6, p11
Reports that the NASD Regulation Inc. has sanctioned several brokerage firms for running prohibited sales contests in the U.S. Examination of broker-dealers to review their compliance with rules that prohibit brokerage firms from rewarding cash or noncash compensation to brokers selling specific...
- Rise Of The Machines On Wall Street. Maggs, John // National Journal;5/15/2010, p21
No abstract available.
- On the Record. // Securities Industry News;3/15/2004, Vol. 16 Issue 10, p42
Presents quotations from U.S. securities industry executives related to securities issues, as of March 2004. William Donaldson, U.S. Securities and Exchange Commission (SEC) chairman; Lori Richards, SEC director of the office of compliance inspections; Mary Schapiro, National Association of...