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Company: National Association of Securities Dealers

131 results found

Brokerage fined for prohibited mutual fund sales contests

NASD fines Morgan Stanley US$2 million

  • By: IE Staff
  • September 16, 2003 September 16, 2003
  • 15:40

U.S. fund task force recommends more fee disclosure

Investors short-changed on breakpoint discounts

  • By: IE Staff
  • July 22, 2003 July 22, 2003
  • 15:55

NASD clamps down on unsuitable DSC fund sales

Issues investor alert on Class B shares

  • By: IE Staff
  • June 25, 2003 June 25, 2003
  • 15:10

Hold on to “instant messages”, U.S. brokers told

Technology poses record-keeping challenges

  • By: IE Staff
  • June 18, 2003 June 18, 2003
  • 14:20

NASD to sell American Stock Exchange

US$110 million with Chicago equity firm subject to approval

  • By: IE Staff
  • June 2, 2003 June 2, 2003
  • 15:55

No discount on many fund transactions, says U.S. report

Regulators say most failures to apply sales load waiver unintentional

  • By: IE Staff
  • March 11, 2003 March 11, 2003
  • 16:40

NASD fines J.P. Morgan for sharing in profits from “hot” IPOs

Firm to pay US$6 million to regulator

  • By: IE Staff
  • February 20, 2003 February 20, 2003
  • 15:40

NASD strikes task force to prevent overcharging on fund sales

Investigation reveals investors don't always receive correct discounts

  • By: IE Staff
  • February 19, 2003 February 19, 2003
  • 16:30

NASD concerned over hedge fund sales practices

Firms may not be fulfilling obligations to retail investors

  • By: IE Staff
  • January 24, 2003 January 24, 2003
  • 16:10

U.S. brokerages may be allowed to offer investment analysis tools

Regulator eyes easing direct access restriction

  • By: IE Staff
  • August 21, 2002 August 21, 2002
  • 14:30