Company: National Association of Securities Dealers

131 results found

Brings greater transparency to corporate bond market for retail investors

Bearish rumour caused RF Micros shares to fall 10%

Regulator focused on fund sales practices, market-timing violations

New board to be elected

  • By: IE Staff
  • January 3, 2005 January 3, 2005
  • 16:10

Merrill Lynch, Wachovia temporarily suspended from registering new brokers

Quattrone is permanently banned from securities industry

Task force calls for increased disclosure

Detailed disclosure of conflicts of interest, tightening of procedures at issue

Alleges brokers misrepresented sale of Enron bonds

Hedge fund sales materials included unsubstantiated claims, inadequate risk disclosure