NASD bars and fines adviser for not cooperating in probe
- Former aide settles. // Crain's New York Business;01/06/97, Vol. 13 Issue 1, p26
Reports that Nicholas Rudi, adviser to former New Jersey Governor Jim Florio, agreed to pay $86,000 to settle civil charges brought against him by the Securities and Exchange Commission. Details on the charges; Charges brought against Governor Jim Florio and the ruling on the charges.
- Regulators probe Galyan's trades. Andrews, Greg // Indianapolis Business Journal;1/10/2005, Vol. 25 Issue 45, p1
Reports on the investigation conducted by securities regulators to the allegations of insider trading in Galyan's Trading Co. stock before the company's sale to Dick's Sporting Goods Inc. Investigation on the reason for leave of absence of stockbroker Dave Knall; Effort of the U.S. Securities...
- American Funds vs. NASD: Shelf-Space Battle Brewing. Ackermann, Matt // American Banker;2/18/2005, Vol. 170 Issue 34, p7
Reports that American Funds and NASD are preparing for the first clash between a regulator and a fund company over the issue of shelf space. Claim by the Los Angeles fund company that it will fight charges that it violated an NASD rule by directing about $100 million of brokerage commissions to...
- NASD Fights Louisiana Court's Subpoena in Bond Case. Hume, Lynn // Bond Buyer;3/9/2005, Vol. 351 Issue 32086, p40
Reports on the effect of forcing the National Association of Securities Dealers (NASD) to turn over bond-related investigative documents to the Louisiana Local Government Environment Facilities Community Development Authority (LCDA) on the integrity of its self-regulation of broker-dealers in...
- American Funds Accused on Commissions. // American Banker;2/17/2005, Vol. 170 Issue 33, p9
Reports that American Funds Distributors Inc. was charged with violating an NASD rule by directing about $100 million of brokerage commissions during three years to 50 brokerage firms that were the top sellers of its mutual funds. Rewarding of firms with payments for past sales and the...
- SEC Launches Inquiry into Research Analyst Conflicts. // Venulex Legal Summaries;2002 Q2, p1
The article reports on the launch of a formal inquiry by the U.S. Securities and Exchange Commission into market practices concerning research analysts and the potential conflicts that can arise from the relationship between research and investment banking. Involved in the conduction of the...
- Maybe They Should Be on a Leash, But We Shouldn't Muzzle Analysts . McLaughlin, Joseph // American Banker;3/22/2002, Vol. 167 Issue 56, p8
Relates the viewpoints on the role of analysts in the securities market in the U.S. Proposals of New York Stock Exchange and National Association of Securities Dealers; Role of an analyst; Examples of rule proposals.
- Credit Suisse Unit Targeted in Fund Inquiry. // American Banker;6/29/2004, Vol. 169 Issue 124, p18
Reports Credit Suisse First Boston has received subpoenas and requests for information regarding its mutual fund trading practices. Focus of an investigation into the trading practices of mutual funds and broker-dealers, being conducted by the U.S. Securities and Exchange Commission (SEC), the...
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, To Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) To Adopt Form CMA O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;6/6/2012, Vol. 77 Issue 109, p33539
No abstract available.