- NASD Weighs in On Analysts' Conflicts. Lugo, Denise // Investment Dealers' Digest;7/9/2001, Vol. 67 Issue 27, pN.PAG
Focuses on the proposal of the National Association of Securities Dealers that analysts of the New York Stock Exchange disclose ownership in companies they cover. Conflict of interest of analysts when they recommend stocks; Rise in program trading in the exchange in the second quarter of 2001;...
- Tougher Rules Proposed for Day Traders. Hoffman, William // Traders Magazine;Feb2000, Vol. 13 Issue 162, p10
Reports that stiffer day trading margin and leverage requirements are expected to face little opposition from industry players in the United States. Definition of day trading; Rules proposed by the New York Stock Exchange and the National Association of Securities Dealers; Criticisms of the...
- Street Getting Ready for Life Under Tougher Rules. Boraks, David // American Banker;7/8/2002, Vol. 167 Issue 128, p18
Looks at the rules established by the New York Stock Exchange and the National Association of Securities Dealers to impose tighter restrictions and disclosure requirements on analysts and researchers in the United States. Preparations made by Wall Street firms for the changes that will result...
- New York Stock Exchange Adopts Electronic Audit Trail. // On Wall Street;Nov2001, Vol. 11 Issue 11, p24
Reports that member firms of the New York Stock Exchange are required to adopt the Order Audit Trail System (OATS) of the National Association of Securities Dealers. Date of approval of OATS.
- Keeping audit committees effective. Turner, Eric // CA Magazine;Nov99, Vol. 132 Issue 9, p40
Discusses several ways to effectively operate an organization's audit committee. Report issued by the New York Stock Exchange and the National Association of Securities Dealers Blue Ribbon Committee on Improving the Effectiveness of Corporate Audit Committees; Best practice recommendations.
- Securities Arbitration System 'Rigged,' Massachusetts AG Tells Congress. Hume, Lynn // Bond Buyer;3/18/2005, Vol. 351 Issue 32093, p5
This article reports that Massachusetts Attorney General William E. Galvin urged that control of the system should be taken away from the National Association of Securities Dealers (NASD) and New York Stock Exchange. The hearing was held by subcommittee chairman Representative Richard Baker, at...
- Post-Finra, NYSE Regulation Focuses on Trading. Groenfeldt, Tom // Securities Industry News;5/19/2008, Vol. 20 Issue 20, p9
The article focuses on the New York Stock Exchange (NYSE) Regulation after the formation of the Financial Industry Regulatory Authority (Finra). According to Chief Executive Officer (CEO) Richard Ketchum, the activities NYSE Regulation retained following the merger of the National Association of...
- Rulebook Consolidation: Devil in the Principles-Based Details? Curtis, Carol E. // Securities Industry News;5/19/2008, Vol. 20 Issue 20, p12
The article addresses the consolidation of the rulebook after the merger of the National Association of Securities Dealers (NASD) and the member-regulation arm of the New York Stock Exchange (NYSE). The rulebook harmonization process involves reviewing all existing NASD and NYSE rules and...
- Should NYSE Go to Decimals First? Schroder, Mary // Securities Industry News;03/20/2000, Vol. 12 Issue 12, p1
Focuses on the implications of moving listed stocks to decimals-based pricing in the United States. Delay in decimalization requested by the National Association of Securities Dealers; New York Stock Exchange's stand on decimalization.