NASDR to Take Cost-Benefit Approach to Rules
- NASD Rules on Outside Directors. // On Wall Street;Jan2001, Vol. 11 Issue 1, p16
Reports on director of a securities firm that could not have the ability to set policy, according to an interpretive letter of National Association of Securities Dealers (NASD) Regulation Incorporated. Directors considered outside by NASD.
- Changes in Broker Rules? Eccleston, James // On Wall Street;Sep2001, Vol. 11 Issue 9, p105
Reports on recommendations from the Securities Industry Association concerning the plan of the National Association of Securities Dealers Regulation to revise its rules. Addition of a provision requiring representatives to learn and record customer trading experiences; Elimination of the...
- NASDR Follows States in Banning Account TROs. Retkwa, Rosalyn // On Wall Street;Feb2002, Vol. 12 Issue 2, p11
Reports that the National Association of Securities Dealers Regulation (NASDR) passed a rule interpretation in December 2001 barring member firms from getting court orders that block the transfer of customer accounts to brokers who have left for other firms. Details of the rule; Change made by...
- Year-End Mediation Sale at NASDR. Chapelle, Tony // On Wall Street;Nov99, Vol. 9 Issue 11, p18
Looks at the move of the National Association of Securities Dealers Regulation (NASDR) to encourage demand by nudging consumers into mediation through a discount-pricing schedule. Nature of mediation; Percentage of mediation according to the NASDR; Who is in charge during the mediation.
- NASDR Proposes Tougher Rules to Expunge Complaints from CRDs. Retkwa, Rosalyn // On Wall Street;Jan2002, Vol. 12 Issue 1, p17
Reports that the National Association of Securities Dealers Regulation (NASDR) has proposed a set of rules and policies that makes it more difficult for brokers to have customer complaints expunge from their CRD records. Extension of the comment period for the proposal; Details of the NASDR...
- The Duality Duel. Longo, Tracey // Financial Planning;May99, Vol. 29 Issue 5, p169
Provides information on brokers or planners who are registered as both brokerage representatives and investment advisers in the United States. Concern of the National Association of Securities Dealers Regulation regarding the issue; Importance of determining fiduciary duties with regards to...
- Advisors Boiling Over NASDR Reg Proposals. // Bank Investment Consultant;Apr2000, Vol. 8 Issue 4, p12
Reports that most large brokerages have lined up against regulations proposed by the National Association of Securities Dealers Regulation Inc. that would alter compensation packages for salespeople in the United States. Elimination of special incentives to sell proprietary mutual funds and...
- NASD Regulation. // Traders Magazine;Nov2000, Vol. 13 Issue 174, p6
Reports on the plan of the National Association of Securities Dealers (NASD) Regulation to become a provider of contract services to start up exchanges and other stock markets in the United States. Contracts that keep NASD regulatory arm busy; Expected date of completion of the Nasdaq spinoff.
- NASDR Won't Bare Disciplinary Histories on Internet--for Now. Rosenberg, Geanne // On Wall Street;Mar1999, Vol. 9 Issue 3, p51
Reports on the indefinite delay of the Web disclosure plan of the National Association of Securities Dealers Regulation (NASDR). Basic information about brokers the public can retrieve from the Website of NASDR; Information on a plan that would allow the self-regulator to post certain felony...