NASD Investigating Funds' Fees; Oxley Requests GAO Report
- Joint NASD/industry task force issues report. // Fairfield County Business Journal;9/8/2003, Vol. 42 Issue 36, p20
Reports that the U.S. National Association of Securities Dealers issued a task force report on mutual fund discounts. Purpose of the report; Participants of the task force; Recommendations of the report.
- NASD to Investigate Broker Overcharges on Mutual Funds. // On Wall Street;Feb2003, Vol. 13 Issue 2, p14
Reports on the plan of the National Association of Securities Dealers to file cases against several brokerages who failed to provide discounts to clients on mutual funds in New York City, as of February 2003. Background of the case; Comments from brokers on the problem; Possible punishment for...
- NASD approves bank broker-dealer rule. // American Banker;1/30/1997, Vol. 162 Issue 20, p2
Reports on the National Association of Securities Dealers' approval of a rule that seeks to eliminate customer confusion about mutual funds sold on bank premises. Requirement of brokerages to sell securities in a location separate from the main banking area; Types of brokerages covered by the rule.
- NASD set to examine rules on the disclosure of mutual fund fees. Winokur, Cheryl // American Banker;12/11/1998, Vol. 163 Issue 236, p6
Reports that the National Association of Securities Dealers Inc. is set to examine rules on the disclosure of mutual fund fees. Fund companies' complaint regarding the need for increased scrutiny; Concerns over additional fee information on advertisements; Position of the North American...
- NASD Threatens Probe Over Fund Fee Disclosure. Longo, Tracey // Financial Planning;Jan1999, Vol. 29 Issue 1, p26
Focuses on the move of the National Association of Securities Dealers Inc. warning mutual fund companies and dealer-brokers in the United States on the method of disclosing fund fees. Why the association become stricter on the issue of disclosing fund fees; Details on the initiative of the...
- Joint NASD/industry task force issues report. // Westchester County Business Journal;9/8/2003, Vol. 42 Issue 36, p29
Reports on the release of study on mutual fund discounts by the National Association of Securities Dealers (NASD) in the U.S. Recommendations to the delivery of breakpoint discounts to investors; Development of the study by a task force of NASD; Reason for the formation of the task force.
- Friends With Inside Dope Can Destroy Your Career. Harris, David F.; Baird, Elizabeth // On Wall Street;Jan1999, Vol. 9 Issue 1, p90
Presents answers to questions on securities brokerage industry. Rules on insider information that brokers should know about; Rules of the National Association of Securities Dealers on information that brokers should get from clients; Rules on mutual funds disclosure.
- NASD Fines Eiqht B/Ds for Accepting Fund Kickbacks. Abramovich, Giselle // Money Management Executive;10/17/2005, Vol. 13 Issue 39, p3
Reports on the move of the National Association of Securities Dealers to fine eight broker/dealers for giving preferential sales treatment to mutual funds in exchange for lucrative trading commissions from directed-brokerage agreements in the U.S. Move of the association to look into violations...
- Recent NASD Enforcement and Examination Priorities. Szuch, Richard C. // Money Management Executive;5/15/2006, Vol. 14 Issue 19, p14
The article discusses the priorities of the National Associations of Securities Dealers (NASD) with regard to its enforcement and examination of mutual funds in the U.S. NASD prioritizes the share sales practices, directed-brokerage violations, and variable insurance products. The organization...