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Company: National Association of Securities Dealers

131 results found

SEC approves emergency preparedness rules for securities industry

NASD, NYSE member required to prepare business continuity plan

  • By: IE Staff
  • April 16, 2004 April 16, 2004
  • 15:30

NASD short-selling rules affect Canadian brokers

IDA urges members to adjust trading practices

  • By: IE Staff
  • April 13, 2004 April 13, 2004
  • 09:55

NASD fines State Street Research US$1 million for poor supervision

Firm ordered to pay restitution for market timing violations

  • By: IE Staff
  • February 19, 2004 February 19, 2004
  • 16:10

Number of NASD enforcements sets record

2003 a busy year for securities industry regulator

NASD fines analyst for overstated research reports

Censures brokerage firms for issuing misleading research reports

  • By: IE Staff
  • December 10, 2003 December 10, 2003
  • 10:10

NASD files rule to increase disclosure of brokerage firms and brokers

Initiates web-based reports

  • By: IE Staff
  • December 5, 2003 December 5, 2003
  • 09:15

NASD forms investor education foundation

Survey finds many people not up on investment basics

  • By: IE Staff
  • December 2, 2003 December 2, 2003
  • 17:40

U.S. securities industry approves rules to reform IPO process

Second set of reform measures

  • By: IE Staff
  • November 24, 2003 November 24, 2003
  • 16:25

NASD proposes disclosure of mutual fund expenses in performance advertising

Proposals aimed at improving investor awareness

  • By: IE Staff
  • November 24, 2003 November 24, 2003
  • 11:45

SEC, NASD focus on break-point discounts

Clients may be due refunds on front-end loads

  • By: IE Staff
  • November 3, 2003 November 3, 2003
  • 16:40