New NASD compliance approach alerts firms to possible shortcomings
- 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.
- `Volatility ratings' get go-ahead from NASD board for a pilot program. Kruger, Daniel // Bond Buyer;12/12/97, Vol. 322 Issue 30291, p6
Presents information on a pilot program approved by the National Association of Securities Dealers (NASD) board on December 11, 1997. Benefits of the pilot program to brokerage firms; Comments made by Frank G. Zarb, the association's chairman and chief executive officer; Information on the use...
- NASD adds five more to chairman's group. // Bond Buyer;06/03/98, Vol. 324 Issue 30406, p6
Reports on the addition of five senior officers to the office of the chairman of the National Association of Securities Dealers Inc.
- Banks furious at NASD plan to bar fund sales in... Hensley, Scott // American Banker;3/7/1996, Vol. 161 Issue 45, p1
Reports on the revision made by the United States National Association of Securities Dealers to its proposed rules governing bank-affiliated brokerages. Reaction from bankers; What the association wants to do.
- Broker probe. // Crain's New York Business;03/24/97, Vol. 13 Issue 12, p34
Reports that the National Association of Securities Dealers is investigating up to 10 brokerages and 19 companies for possible organized crime links and other securities violations in the United States.
- NASD Letters Grant One G-37 Exemption, Deny Another. Hume, Lynn // Bond Buyer;12/17/2001, Vol. 338 Issue 31286, p6
Reports that National Association of Securities Dealers has issued two letters containing rule G-37-related rulings exempting one firm from the rule's two year ban and denying a firm's request for an exemption. Overview of rule G-37; Concerns of several investment firms related to the bans...