NASD: Dealers Responsible for Accuracy, Timeliness of All Data
- BMA Slams TRACE Again; NASD Downplays Concerns. Kite, Shane // Securities Industry News;05/29/2000, Vol. 12 Issue 21, p10
Reports on the National Association of Securities Dealers' TRACE corporate bond reporting proposal. Comment filed by the Bond Market Association with the United States Securities and Exchange Commission; Avoiding adoption of anticompetitive models for the distribution of bond market data.
- NASD Suspends Broker, Fines 3 Firms. Hume, Lynn // Bond Buyer;4/17/2007, Vol. 360 Issue 32609, p4
The article reports that the National Association of Securities Dealers has suspended a former broker of Commerce Capital Markets Inc. from the industry and fined him $5000 for taking part in parking scheme in South Carolina. The parking scheme is designed to manipulate and push up the prices of...
- Opposition Grows to NASD's Bond Reporting Plan. Kite, Shane // Securities Industry News;04/10/2000, Vol. 12 Issue 15, p6
Reports on possible changes in the bond trade reporting and comparison entry service (TRACE) system proposed by the United States National Association of Securities Dealers (NASD). Opposition to TRACE by the Bond Market Association and the securities industry; Aim of TRACE to offer a real-time...
- NASD Fights Louisiana Court's Subpoena in Bond Case. Hume, Lynn // Bond Buyer;3/9/2005, Vol. 351 Issue 32086, p40
Reports on the effect of forcing the National Association of Securities Dealers (NASD) to turn over bond-related investigative documents to the Louisiana Local Government Environment Facilities Community Development Authority (LCDA) on the integrity of its self-regulation of broker-dealers in...
- NASD to Publish All G-37 Rulings. Hume, Lynn // Bond Buyer;8/27/2001, Vol. 337 Issue 31211, p1
Reports that the National Association of Securities Dealers will release all final rulings on dealer requests for relief from a temporary ban Rule G037 imposes on firms in the United States. Rules on political contributions; Prevention of dealers from engaging pay-to-play practices.
- Ops, tech issues stymie extending trading hours. Stirland, Sarah // Securities Industry News;07/12/99, Vol. 11 Issue 27, p1
Reports on the likelihood of an extension of securities trading hours in the United States. National Association of Securities Dealers (NASD) head Frank Zarb's statement on the plan; Technological and operational issues related to the proposed extension; Measures undertaken by the NASD to...
- NASD's ADF Blasted As Weak. Bresiger, Gregory // Traders Magazine;Jul2002, Vol. 15 Issue 199, p10
Deals with the criticisms on the Alternative Display Facility trading platform proposed by the National Association of Securities Dealers (NASD). Comments of Bloomberg Tradebook Chief Executive Officer Kevin Foley on the platform; Views on the impact of the proposed platform on competition;...
- NASD's Trumbull unit will stay put. Khasru, B.Z. // Fairfield County Business Journal;06/14/99, Vol. 38 Issue 24, p1
Reports on the National Association of Securities Dealers Inc.'s plan to keep its operations in Trumbull, Connecticut, intact despite a possible relocation of the group's headquarters from Washington, D.C. to New York City. Intention to keep NASD Regulation Inc. in Washington, D.C.; Decision by...
- NASD Votes to Restructure. Kite, Shane // Securities Industry News;04/17/2000, Vol. 12 Issue 15, p31
Reports that the majority of member securities firms of the National Association of Securities Dealers in the United States have voted to restructure the organization.