NASD Issues Broker-Dealer Compliance Warning
- THE BOND BUYER NEW-ISSUE CALENDAR. // Bond Buyer;5/10/2005, Vol. 352 Issue 32129, p7
The article presents competitive bond offerings for the month of May and June in 2005. It informs about time of sale, financial adviser, legal opinion, maturing, insurer's name, and latest status.
- What, no rush for the bonds exit? Hirst, Tomas // Fundweb;9/4/2013, p25
The article reports that there was no sign of exodus out of fixed income and into equities. There are upsides to the rise in fixed income yields. Investors will have an opportunity to lock in income streams. Across the majority of the investment grade and government bond markets a small respite...
- Yield Indexes Finish Near or Above Highs for the Year. Johnson, Matthew // Bond Buyer;10/28/2005, Vol. 354 Issue 32248, p35
Examines the yield indexes of the journal "Bond Buyer" for 2005. Consequences of U.S. President George W. Bush's nomination of the chairman of the Council of Economic Advisers; Expectation of more volatility as the market moved to another kind of federal tightening; Status of treasury bills and...
- State Street Unit Fined Record $1.4M Over Trades. Hume, Lynn // Bond Buyer;11/23/2005, Vol. 354 Issue 32265, p1
Reports that the National Association of Securities Dealers has ordered Boston-based State Street Global Markets LLC to pay for failure to report of corporate and municipal bond trades to regulators. Citations of the cause of the firm's failure to report such bond trades; Impact of the firm's...
- Northeast: Plain/Insured GO Yield Curves for June 23, 2005. // Bond Buyer;6/27/2005, Vol. 352 Issue 32162, p37
This article presents a chart depicting the ratings of different bonds. The issuer states include, Maryland, Delaware, Vermont, Connecticut, Pennsylvania and New Hampshire.
- Capital Ideas. Quinn, Jane Bryant // Newsweek;2/20/2006, Vol. 147 Issue 8, pE20
This article details several ways to gather investment information from the National Association of Securities Dealers. Bondinfo.com allows users to check if their broker gave them a fair quote on purchased bonds. A calculator on nasd.com allows users to compare mutual-fund costs. Another...
- QUICK SCALES for Competitive Sales. // Bond Buyer;10/11/2005, Vol. 354 Issue 32235, p21
Presents a chart depicting quick scales for competitive sales of bonds in the U.S. as of October 2005. Revenue fund bonds of Minnesota State Colleges and Universities; Universities revenue bonds of Nevada System of Higher Education; Lincoln Electric System revenue bonds in Nebraska.
- NASD Investigating Funds' Fees; Oxley Requests GAO Report. Hume, Lynn // Bond Buyer;1/16/2003, Vol. 343 Issue 31554, p6
Reports on the plans of National Association of Securities Dealers to conduct an investigation of firms' mutual fund sales-load practices in the U.S. Request to the U.S. Government Accounting Office to examine mutual fund fee and practice; Reasons for concerns about mutual fund fees; Need to...
- Joint NASD/industry task force issues report. // Fairfield County Business Journal;9/8/2003, Vol. 42 Issue 36, p20
Reports that the U.S. National Association of Securities Dealers issued a task force report on mutual fund discounts. Purpose of the report; Participants of the task force; Recommendations of the report.