Municipal Bond Activities
- MUNICIPAL BOND ACTIVITIES. // Bond Buyer;6/9/2005, Vol. 352 Issue 32150, p36
The article focuses on municipal bond activities in the U.S. The Bond Club of Virginia will host a joint meeting with the Carolinas Municipal Advisory Council and the Securities Dealers of the Carolinas at the Homestead in Hot Springs, Virginia. The National Association of Securities Dealers...
- Municipal Bond Activities. // Bond Buyer;6/29/2006, Vol. 356 Issue 32413, p28
The article presents a calendar of events in the municipal bond market for 2006. National Association of Securities Dealers (NASD) will host a 90-minute Municipal and TRACE Transaction Reporting Teleconference on June 29. The Bond Buyer will host its first Tourism as Economic Development...
- NASD Investigating Funds' Fees; Oxley Requests GAO Report. Hume, Lynn // Bond Buyer;1/16/2003, Vol. 343 Issue 31554, p6
Reports on the plans of National Association of Securities Dealers to conduct an investigation of firms' mutual fund sales-load practices in the U.S. Request to the U.S. Government Accounting Office to examine mutual fund fee and practice; Reasons for concerns about mutual fund fees; Need to...
- 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.
- NASD to Investigate Broker Overcharges on Mutual Funds. // On Wall Street;Feb2003, Vol. 13 Issue 2, p14
Reports on the plan of the National Association of Securities Dealers to file cases against several brokerages who failed to provide discounts to clients on mutual funds in New York City, as of February 2003. Background of the case; Comments from brokers on the problem; Possible punishment for...
- NASD approves bank broker-dealer rule. // American Banker;1/30/1997, Vol. 162 Issue 20, p2
Reports on the National Association of Securities Dealers' approval of a rule that seeks to eliminate customer confusion about mutual funds sold on bank premises. Requirement of brokerages to sell securities in a location separate from the main banking area; Types of brokerages covered by the rule.
- NASD set to examine rules on the disclosure of mutual fund fees. Winokur, Cheryl // American Banker;12/11/1998, Vol. 163 Issue 236, p6
Reports that the National Association of Securities Dealers Inc. is set to examine rules on the disclosure of mutual fund fees. Fund companies' complaint regarding the need for increased scrutiny; Concerns over additional fee information on advertisements; Position of the North American...
- NASD Threatens Probe Over Fund Fee Disclosure. Longo, Tracey // Financial Planning;Jan1999, Vol. 29 Issue 1, p26
Focuses on the move of the National Association of Securities Dealers Inc. warning mutual fund companies and dealer-brokers in the United States on the method of disclosing fund fees. Why the association become stricter on the issue of disclosing fund fees; Details on the initiative of the...
- Joint NASD/industry task force issues report. // Westchester County Business Journal;9/8/2003, Vol. 42 Issue 36, p29
Reports on the release of study on mutual fund discounts by the National Association of Securities Dealers (NASD) in the U.S. Recommendations to the delivery of breakpoint discounts to investors; Development of the study by a task force of NASD; Reason for the formation of the task force.