New Direction for NASD?

May 2007
Financial & Insurance Meetings;May/Jun2007, Vol. 43 Issue 3, p11
Trade Publication
The article highlights the statements of Mary Schapiro, chief executive officer (CEO) for NASD, regarding the vagueness of NASD guidelines on meetings and incentive practices of financial services firms at the Securities Industry and Financial Markets Association conference held in Phoenix, Arizona. She emphasizes that a principles-based approach to business entertainment has caused problems among NASD members.


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