National Association of Securities Dealers – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 11 Jul 2007 20:15:00 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png National Association of Securities Dealers – Investment Executive https://www.investmentexecutive.com 32 32 NASD fines Securities America US$375,000 for improperly sharing directed brokerage payments https://www.investmentexecutive.com/news/nasd-fines-securities-america-us375000-for-improperly-sharing-directed-brokerage-payments/ Wed, 11 Jul 2007 20:15:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-securities-america-us375000-for-improperly-sharing-directed-brokerage-payments/ NASD settles cases against four firms for failures relating to mutual fund sales https://www.investmentexecutive.com/news/nasd-settles-cases-against-four-firms-for-failures-relating-to-mutual-fund-sales/ Thu, 28 Jun 2007 17:40:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-settles-cases-against-four-firms-for-failures-relating-to-mutual-fund-sales/ NASD fines Wells Fargo Securities for failing to disclose analyst’s employment with covered company in research report https://www.investmentexecutive.com/news/nasd-fines-wells-fargo-securities-for-failing-to-disclose-analysts-employment-with-covered-company-in-research-report/ Wed, 27 Jun 2007 19:30:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-wells-fargo-securities-for-failing-to-disclose-analysts-employment-with-covered-company-in-research-report/ NASD fines Wachovia Securities US$2 million for fee-based account violations https://www.investmentexecutive.com/news/nasd-fines-wachovia-securities-us2-million-for-fee-based-account-violations/ Thu, 21 Jun 2007 20:35:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-wachovia-securities-us2-million-for-fee-based-account-violations/ NASD fines Citigroup US$3 million https://www.investmentexecutive.com/news/nasd-fines-citigroup-us3-million/ Wed, 06 Jun 2007 20:45:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-citigroup-us3-million/ NASD fines HSBC Brokerage for failure to supervise https://www.investmentexecutive.com/news/nasd-fines-hsbc-brokerage-for-failure-to-supervise/ Tue, 29 May 2007 15:10:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-hsbc-brokerage-for-failure-to-supervise/ NASD fines two Fidelity broker dealers US$400,000 https://www.investmentexecutive.com/news/nasd-fines-two-fidelity-broker-dealers-us400000/ Tue, 08 May 2007 21:10:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-fines-two-fidelity-broker-dealers-us400000/ U.S. regulator, exchange fine and suspend two traders https://www.investmentexecutive.com/news/u-s-regulator-exchange-fine-and-suspend-two-traders/ Mon, 30 Apr 2007 20:44:00 +0000 https://www.investmentexecutive.com/uncategorized/u-s-regulator-exchange-fine-and-suspend-two-traders/ Touting “China” stocks latest “Pump and Dump” scheme, NASD alert says https://www.investmentexecutive.com/news/touting-china-stocks-latest-pump-and-dump-scheme-nasd-alert-says/ Mon, 23 Apr 2007 20:25:00 +0000 https://www.investmentexecutive.com/uncategorized/touting-china-stocks-latest-pump-and-dump-scheme-nasd-alert-says/ NASD reminds investors to consider global market risk when investing https://www.investmentexecutive.com/news/nasd-reminds-investors-to-consider-global-market-risk-when-investing/ Mon, 16 Apr 2007 15:20:00 +0000 https://www.investmentexecutive.com/uncategorized/nasd-reminds-investors-to-consider-global-market-risk-when-investing/