NASD Fights Louisiana Court's Subpoena in Bond Case
- NASD: Dealers Responsible for Accuracy, Timeliness of All Data. Hume, Lynn // Bond Buyer;01/04/2001, Vol. 335 Issue 31050, p5
Reports on the responsibilities of bond dealers in the United States according to the National Association of Securities Dealers. Accuracy of data on municipal securities trades; Qualification for 'No Business' exemption from Rule G-37.
- BMA Slams TRACE Again; NASD Downplays Concerns. Kite, Shane // Securities Industry News;05/29/2000, Vol. 12 Issue 21, p10
Reports on the National Association of Securities Dealers' TRACE corporate bond reporting proposal. Comment filed by the Bond Market Association with the United States Securities and Exchange Commission; Avoiding adoption of anticompetitive models for the distribution of bond market data.
- Opposition Grows to NASD's Bond Reporting Plan. Kite, Shane // Securities Industry News;04/10/2000, Vol. 12 Issue 15, p6
Reports on possible changes in the bond trade reporting and comparison entry service (TRACE) system proposed by the United States National Association of Securities Dealers (NASD). Opposition to TRACE by the Bond Market Association and the securities industry; Aim of TRACE to offer a real-time...
- NASD Suspends Broker, Fines 3 Firms. Hume, Lynn // Bond Buyer;4/17/2007, Vol. 360 Issue 32609, p4
The article reports that the National Association of Securities Dealers has suspended a former broker of Commerce Capital Markets Inc. from the industry and fined him $5000 for taking part in parking scheme in South Carolina. The parking scheme is designed to manipulate and push up the prices of...
- NASD Officials' Compensation Rose in '01; Pay Cuts for SIA, ICI. Hume, Lynn // Bond Buyer;4/30/2003, Vol. 344 Issue 31625, p1
The compensation of the National Association of Securities Dealers' chief regulatory officials inflated in 2001, while top officials at the Securities Industry Association (SIA) and Investment Company Institute (ICI) took pay reductions, according to the fourth annual survey by periodical 'The...
- NASD To Keep Life Settlements And Annuities On Front Burner. Bell, Allison // National Underwriter / Life & Health Financial Services;4/2/2007, Vol. 111 Issue 13, p8
No abstract available.
- NASD Closes Best-Execution Loophole. // Traders Magazine;Dec2006, Vol. 19 Issue 261, p12
The article discusses the changes in the best execution rule of the National Associations of Securities Dealers (NASD) in securities trading in the U.S. Members of NASD are required to treat orders from other broker-dealers on an equal basis with orders they receive from non-broker dealer...
- NASD-NYSE MERGER BODES WELL FOR BROKERS. Wine, Elizabeth // On Wall Street;Mar2007, Vol. 17 Issue 3, p22
The article reports on the announcement of National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) to consolidate regulation of securities firms. The new self-regulatory organization will consist of 2,400-persons from the NASD and 470 staffers of the NYSE...
- All Bark, or Some Bite? Hintze, John // Clearing Quarterly & Directory;Spring2006, p14
Offers a look at the response of firms to the implementation of the Regulation Sho in the U.S. Prohibitions peened under the regulation; Response of the National Association of Securities Dealers (NASD) to the regulation; Actions taken by NASD following the implementation of the regulation.