TITLE

TBMA: NASD should publicize fewer disciplinary cases

AUTHOR(S)
Hume, Lynn Stevens
PUB. DATE
January 1999
SOURCE
Bond Buyer;01/20/99, Vol. 327 Issue 30561, p23
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on The Bond Market Association's (TBMA) request for the National Association of Securities Dealers (NASD) to adopt a policy on the public release of information about disciplinary actions involving civil fines. NASD's current threshold for disclosing sanctions; Reasons stated by TBMA for its decision on the public release of information about municipal enforcement cases.
ACCESSION #
1481516

 

Related Articles

  • BMA wants to lift restrictions on E-Communications. Hendrickson, Mark // Securities Industry News;01/25/99, Vol. 11 Issue 4, p9 

    Reports the urging of Bond Market Association on National Association of Securities Dealers (NASD) to eliminate certain regulations. Inappropriateness of pre-review requirement and the implication of its elimination for firms; Advantage in adopting definition of institutional investor;...

  • NASD Lets Firms Quietly Rat on Brokers. Jamieson, Dan // On Wall Street;Nov2002, Vol. 12 Issue 11, p26 

    Discusses the decision of the National Association of Securities Dealers (NASD) to allow firms to alter regulatory records of brokers. Background on the registration comments section of the Central Registration Depository system; Details of the submission of termination information through...

  • Regulators Debate On-Line Trading Suitability Rule . WINOKUR, CHERYL // American Banker;11/2/1999, Vol. 164 Issue 211, p11 

    Focuses on the debate between banking industry executives and securities regulators in the United States on whether National Association of Securities Dealers Inc.'s `suitability' rule should extend to online trading. Emphasis on improved disclosure and advertising by online firms; Lack of...

  • The Bond Market Association calls for changes to proposed NASD rule. Hume, Lynn Stevens // Bond Buyer;07/02/98, Vol. 325 Issue 30427, p7 

    Announces The Bond Market Association's (TBMA) calls for further changes in a proposed National Association of Securities Dealers rule that would establish a uniform standard of qualified immunity for firms in NASD arbitration proceedings. Rule amendments recommended by TBMA; Significance of...

  • Ease curbs on e-communications, Bond Market Association urges NASD. Hendrickson, Mark // Bond Buyer;01/27/99, Vol. 327 Issue 30566, p30 

    Reports that the Bond Market Association is urging the National Association of Securities Dealers to eliminate numerous duplicative or outmoded regulations. Elimination of requirement that restrict electronic communication between broker-dealers and institutional investors; Allowing of firms to...

  • Overhaul NASD's proposed markup guidance, says TBMA. Hume, Lynn Stevens // Bond Buyer;12/18/98, Vol. 326 Issue 30543, p5 

    Focuses on the Bond Market Association's stance that federal regulators overhaul the National Association of Securities Dealers' (NASD) proposed markup guidance for government securities and other debt. Possibility that proposed guidance may be withdrawn; Provisions under the NASD's proposal.

  • NASDR Won't Bare Disciplinary Histories on Internet--for Now. Rosenberg, Geanne // On Wall Street;Mar1999, Vol. 9 Issue 3, p51 

    Reports on the indefinite delay of the Web disclosure plan of the National Association of Securities Dealers Regulation (NASDR). Basic information about brokers the public can retrieve from the Website of NASDR; Information on a plan that would allow the self-regulator to post certain felony...

  • Prepare Yourself for CRD.com. Levan, Richard A.; Breck, David R. // On Wall Street;Mar1999, Vol. 9 Issue 3, p52 

    Focuses on the need for brokers to monitor a plan by the National Association of Securities Dealers Regulation (NASDR) to put its Public Disclosure Program on the Internet. Reason for the need for brokers to try to influence the plan; Example on how the plan would affect brokers; Steps...

  • Dealers Getting Ready To Disclose Prices.  // Global Finance;Apr2001, Vol. 15 Issue 4, p17 

    Focuses on the National Association of Securities Dealers' rule concerning the reporting and public dissemination of corporate bond trade information. Possible adverse effects of the rule on the corporate bond market; Date of implementation of the rule; Information on BondGlobe, an online bond...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics