Anatomy of a Churning Claim
- NASD. // International Dictionary of Finance, 4th Edition;2003, p184
Information on the acronym "NASD" is presented. It stands for the National Association of Securities Dealers.
- Online Tools for Investors, Brokers. // Practical Accountant;Jan2006 Supplement, Vol. 39, p6
The article reports that the National Association of Securities Dealers has launched two online tools, Mutual Fund Expense Analyzer and Mutual Fund Breakpoint Search Tool, that are designed to help mutual fund investors make investment choices.
- NASD to MSRB: Dealers Should Disclose Costs of 529 Sales. Hume, Lynne // Bond Buyer;9/21/2004, Vol. 349 Issue 31973, p5
Reports on the recommendation of the National Association of Securities Dealers for the Municipal Securities Rulemaking Board (MSRB) to go further in its proposed advertising rule changes associated with college savings plans in the U.S. Requirement of the proposed rule changes and guidance...
- NASDIM. // International Dictionary of Finance, 4th Edition;2003, p184
Information on the acronym "NASDIM" is presented. It refers to the National Association of Securities Dealers and Investment Managers.
- Online Investment Analysis May Be Coming. // On Wall Street;Oct2002, Vol. 12 Issue 10, p26
Reports on the possible implementation of online investment analysis tools in the U.S. Information on the Monte Carlo simulations; Concern of the National Association of Securities Dealers (NASD) about the tools; List of safeguards proposed by NASD.
- NASD May End Ban On Research Access. Forman, Michael // Securities Industry News;8/26/2002, Vol. 14 Issue 33, p1
Reports the end of the ban on research access to stockbrokers by the National Association of Securities Dealers in the U.S. Reasons for providing client access to investment analysis tools; Increase in the use of research access; Partnership between vendors and financial services institutions.
- Nasdaq's 'Select' Plan, Facing Complaints, Goes Back to the Drawing Board. Chapman, Peter // Traders Magazine;Dec2006, Vol. 19 Issue 261, p26
The article reports on the proposal of National Association of Securities Dealers to publicly rank market makers based on the quality of their trading and quoting in U.S. The proposal, dubbed the "Select Market Maker Program," has been controversial on the securities market. Moreover, the...
- NASD Issues Notice to Members Regarding Amendments to Best Execution Obligations. Fitterman, Mark D.; Lazo, Theodore R. // Venulex Legal Summaries;2006 Q4, p1
The article offers information on the Notice to Members issued by the U.S. National Association of Securities Dealers (NASD) regarding its Best Execution Rule. The notice announces some amendments and interpretive material to Rule 2320(a). The amendments clarify the application of the best...
- ACLI Challenges Proposed VA Suitability Rule. Postal, Arthur D. // National Underwriter / Life & Health Financial Services;9/26/2005, Vol. 109 Issue 36, p6
Reports on the American Council of Life Insurers' call for rejection of the proposed regulation forwarded by the National Association of Securities Dealers in Washington. Reasons of the call for rejection; Inadequacy of demonstrating the need for a new regulation based on the objective empirical...