NASD Enforcement Head Leaving After 10 Years to Join D.C. Law Finn
- 'You Can't Cheat An Honest Man' Applies To VAs, Too. Blazzard, Norse N.; Hasenauer, Judith A. // National Underwriter / Life & Health Financial Services;10/16/2006, Vol. 110 Issue 39, p28
The article discusses the similarity of the story of the classic movie "You Can't Cheat an Honest Man," to the problem of using variable annuities for choosing retirement as basis to defy economic reality in the U.S. The National Association of Securities Dealers (NASD) release the NASD Investor...
- SEC, NASD work together in municipal enforcement arena. Hume, Lynn Stevens // Bond Buyer;11/17/97, Vol. 322 Issue 30274, p4
Highlights the panel discussion held during the National Association of Securities Dealers' fall securities conference in Phoenix, Arizona detailing the NASD's and the Securities and Exchange Commission's (SEC) joint efforts in municipal securities enforcement. Willingness of both agencies to...
- NASD And SEC Criticize Sale of VAs for Qualified Retirement Plans. Kosnett, Jeffrey R. // LAN: Life Association News;Aug99, Vol. 94 Issue 8, p20
Reports that the National Association of Securities Dealers (NASD) and the United States Securities and Exchanged Commission (SEC) criticized the sale of variable annuities (VA) for qualified retirement plans. Comments from Lawrence Kosciulek of the NASD on the issue; Views of the National...
- A Life After Nasdaq. Chapman, Peter // Traders Magazine;Jun2002, Vol. 15 Issue 198, p54
Profiles William Broka, former head of the National Association of Securities Dealers (NASD) and the Nasdaq Stock Market Inc. Family life and work experience; Brief history of the NASD; Development of the stock trade clearing operations at Nasdaq; Plans concerning retirement from the industry.
- ACLI: NASD notice on qual. vas causes `profound disruption.' Brostoff, Steven // National Underwriter / Life & Health Financial Services;9/8/97, Vol. 101 Issue 36, p1
Reports on a `profound disruption' resultant from a National Association of Securities Dealers (NASD) notice imposing NASD rules on conduct on registered representatives selling variable annuities to qualified retirement plans in the marketplace. Identification of market impediments and...
- What's `best execution'? Regulators raise the bar. Horowitz, Jed // Investment Dealers' Digest;03/16/98, Vol. 64 Issue 11, p12
States that the best-execution examinations of broker-deals, will be set up by the National Association of Securities Dealers. How brokers fulfill their best-execution duties; Comments from Eugene Lopez, vice president of market services for the Nasdaq Stock market; Detailed information on...
- NASD Grants Some Exemptions on G-37 Two-Year Bans. Hume, Lynn // Bond Buyer;9/18/2001, Vol. 337 Issue 31225, p5
Reports on exemptions granted to broker-dealer firms from Rule G-37's two year ban on municipal security business by the U.S. National Association of Securities Dealers (NASD). Letters released by the NASD; Complaints of industry officials.
- Snail Mail Too Slow, NASD Going Digital on Bulletins. Ring, Niamh // American Banker;10/1/1998, Vol. 163 Issue 188, p8
Reports that the National Association of Securities Dealers (NASD) plans to stop automatically mailing free copies of its periodicals to broker dealers. Reason for this decision; When the NASD will require every firm to have an Internet e-mail address; Comments made by R. Clarke Hooper,...
- Data-sharing proposal diluted; scope widened. // American Banker;3/17/1997, Vol. 162 Issue 51, p2
Reports on the proposal of a restriction on sharing of customer information by the National Association of Securities Dealers (NASD). Effect on all member brokers; Similarity of original proposal; Allowing of all NASD members and related affiliates to share information; Protection of consumers.