NASD Reportedly Seeks Post Office
- Biz Nets Don't Fret Analyst Disclosures. Donohue, Steve // Multichannel News;7/9/2001, Vol. 22 Issue 28, p47
Reports on the requirement of National Association of Securities Dealers on financial disclosures. Effect on business-news networks CNBC; Influence of Wall Street firm on the decision; Disclosure of investment-banking relationships.
- Does your broker have a hidden motive? Wollenberg, Yvonne Chilik // Medical Economics;8/20/2001, Vol. 78 Issue 16, p17
Provides information on the rules proposed by the National Association of Securities Dealers on financial information disclosure of stock analysts. Requirements of the rules.
- NASD Said Not to Be Among 11 Bidding on RFP. Hume, Lynn // Bond Buyer;3/4/2003, Vol. 343 Issue 31585, p28
Reports that the National Association of Securities Dealers Inc. has opted not to bid on the Municipal Council's request for proposals to develop and operate a central post office disclosure facility. Constituent members of the Municipal Council; Objective of the post office disclosure facility.
- Street Getting Ready for Life Under Tougher Rules. Boraks, David // American Banker;7/8/2002, Vol. 167 Issue 128, p18
Looks at the rules established by the New York Stock Exchange and the National Association of Securities Dealers to impose tighter restrictions and disclosure requirements on analysts and researchers in the United States. Preparations made by Wall Street firms for the changes that will result...
- Change Sought on Disclosure Plan. Garver, Rob // American Banker;8/24/2001, Vol. 166 Issue 164, p4
Reports that the Securities Industry Association has urged the National Association of Securities Dealers to revise its proposal that would require more public disclosures from equity analysts in the United States. Disclosure of information on compensation for investment banking services.
- Procedures for Updating Arbitrator Disclosure Information: GAO-01-162R. // GAO Reports;11/9/2000, p1
The National Association of Securities Dealers (NASD) subsidiary, NASD Dispute Resolution (DR), failed to update its arbitrator disclosure system in a timely manner. As a result, several parties in an arbitration did not receive timely information on their arbitrator. To reduce the potential for...
- NASD Proposes New Rules for VA Sales. Jamieson, Dan // On Wall Street;Jul2004, Vol. 14 Issue 7, p22
Reports on the proposal of the National Association of Securities Dealers (NASD) for a series of disclosures and documentation for the sales of variable annuities products. Information on the contents of the proposal; Requirements for the sales of variable products imposed by NASD to...
- NASD Orders Two Firms to Pay $2.9M. Hume, Lynn // Bond Buyer;9/6/2006, Vol. 357 Issue 32460, p1
The article reports on the order of the National Association of Securities Dealers (NSAD) to penalized Morgan Stanley & Co. Inc. and Morgan Stanley DW Inc. with $ 2.9 million due to the violations of the companies with the regulations of NASD Securities and Exchange Commission and Municipal...
- What's `best execution'? Regulators raise the bar. Horowitz, Jed // Investment Dealers' Digest;03/16/98, Vol. 64 Issue 11, p12
States that the best-execution examinations of broker-deals, will be set up by the National Association of Securities Dealers. How brokers fulfill their best-execution duties; Comments from Eugene Lopez, vice president of market services for the Nasdaq Stock market; Detailed information on...