NASD Taking Offensive on Price Abuse
- NASD revises its proposal for debt-markup guidance. Hume, Lynn Stevens // Bond Buyer;09/02/98, Vol. 325 Issue 30470, p1
Reports that the National Association of Securities Dealers has filed with the United States Securities and Exchange Commission a proposed guidance on markups of debt securities. Controversies over the federal markup policy; Allegations of yield burning against Dain Rauscher Inc.; Role for the...
- NASD Probes Shouldn't Affect Business Much, Experts Say. Walker, Susanne // Bond Buyer;2/8/2005, Vol. 351 Issue 32066, p6
Reports on the investigation of the National Association of Securities Dealers' of brokers' brokers in the municipal bond market in the U.S. Pricing practices of brokerage firms; Elimination of huge price markups between the first and the last bond trade with real-time transparency; Increase in...
- NASD Delays Trace, Citing Terror Attack. Kite, Shane // Securities Industry News;12/3/2001, Vol. 13 Issue 47, p30
Reports the issues affecting the launching of a corporate bond price reporting system by the National Association of Securities Dealers in the United States. Function of Trace (Trade Reporting and Compliance Engine); Extension of deadline of operation due to terrorist attacks; Issuance of...
- More Commissions on Nasdaq Trades? // Traders Magazine;Dec2000, Vol. 13 Issue 175, p22
Deals with the disagreement among Nasdaq stock trading firms on whether they will charge commissions on block trades or stick with the spread in net trading in line with the switch of Wall Street to decimal pricing. Some of the trading firms that think commissions will become a larger part of...
- NASD's Trace System on Deck But Questions Remain. Sisk, Michael // Securities Industry News;6/24/2002, Vol. 14 Issue 25, p8
Focuses on issues related to the launching of National Association Securities Dealers' Trade Reporting and Compliance Engine (Trace) in the U.S. Disagreements over proposed fee schedule for member firms; Terms and agreement on proposed Trace pricing; Comments of Bond Market Association.
- 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.
- Bond pricing transparency still unclear. Geer, Jr., John F; Springsteel, Ian // Treasury & Risk Management;Nov/Dec98, Vol. 8 Issue 9, p23
Focuses on the creation of a real-time price reporting and market supervision system in the United States. Involvement of Securities and Exchange Commission chairman Arthur Levitt and the National Association of Securities Dealers in making trade and sale price transparency; advantages of a...
- NASD to Pose Rules Calling for Emergency Plans. Hume, Lynn // Bond Buyer;3/22/2002, Vol. 339 Issue 31350, p37
Reports proposal from the National Association of Securities Dealers (NASD) to require brokerage firms to maintain business continuity plans in Washington. Provision of emergency contract information to NASD; Influence of the September 11 terrorist attacks.
- ADF APPROVED FOR 7/29 LAUNCH. Clary, Isabelle // Securities Industry News;7/29/2002, Vol. 14 Issue 29, p1
Reports the approval of the Alternative Display Facility on a pilot basis by the National Association of Securities Dealers in the U.S. Schedule of trading real stocks; Confidence of the financial industry; Requirements of Congress for off-exchange trading.