NASD fines, censures N.J. dealer for G-37, registration violations
- Small Firms Uprising Averted at NASD. // Traders Magazine;Nov2002, Vol. 15 Issue 204, p20
Reports on the delay in small broker dealers' attempts to wrest control of the U.S. National Association of Securities Dealers (NASD). NASD agreement to meet with NASD members who planned to run a candidate slate in the 2002 NASD elections; NASD's underestimation of dissident group's strength;...
- New dealer-exemption procedures for rule G-37 adopted by NASD. Hume, Lynn Stevens // Bond Buyer;10/13/97, Vol. 322 Issue 30250, p1
Reports on the National Association of Securities Dealers' decision to put in place new procedures for considering dealers' request for exemptions from the Municipal Securities Rulemaking Board's Rule G-37. Details of the new procedure; Members' reactions to the adoption of the new procedures.
- The theory of performance relativity. // Financial Planning;Mar1998, Vol. 28 Issue 3, p28
Reports on the rules released by the National Association of Securities Dealers relating to the use by companies of industry standards for related performances. Importance of track record on related performance; Types of related performance.
- Customer complaints against stock brokers to be open to public. // Hudson Valley Business Journal;8/05/96, Vol. 7 Issue 7, p43
Reports on the National Association of Securities Dealers Inc.'s announcement of the availability of a toll-free service for information on pending customer complaints against stock brokers in the United States.
- Traders Attack High Cost of Compliance. Hoffman, William // Traders Magazine;Jun2000, Vol. 13 Issue 168, p8
Reports on the criticisms raised by stock traders on the Order Audit Trail System (OATS) proposed by the National Association of Securities Dealers at the 2000 Security Traders Association's conference. Impact of OATS on small brokerage firms according to Bonnie Wachtel, vice president and...
- Fee Disclosure Is Top Priority for Regulators. Longo, Tracey // On Wall Street;Jan1999, Vol. 9 Issue 1, p22
Focuses on the directives of the National Association of Securities Dealers (NASD) for mutual funds and distributors in the United States. Plan of NASD to conduct an investigation to determine if it should require more rigorous fee and expense disclosure; Details on the issue.
- Small Firms Groan Under Burden of Regs. Hoffman, William // Traders Magazine;Nov2002, Vol. 15 Issue 204, p22
Discusses the increasing regulatory burden hounding securities traders in the U.S. Requirement for firms to investigate the source of the money they receive; Complaints on the Patriot Act requiring securities firms to implement anti-money laundering compliance programs; Change in work of...
- 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.
- What Are 'Equitable Principles?' Eccleston, James // On Wall Street;Aug2000, Vol. 10 Issue 8, p77
Offers a look at the National Association of Securities Dealers (NASD) Rule 2110. Its impact on brokers; Criticisms about the Rule 2110; Provisions of the rule; Cases where brokers have violated Rule 2110.