Company: National Association of Securities Dealers

131 results found

Move will create more efficient regulatory system

Single organization will eliminate overlapping regulation and reduce costs to industry

There should not be "regulatory arbitrage" that provides an incentive for the sale of one product over another

McLaughlin, Piven and Vogel Securities agrees to repay customers

Fine is largest ever imposed by NASD against an individual for market timing

Alleges brokerage failed to respond to regulatory requests

  • By: IE Staff
  • October 4, 2006 October 4, 2006
  • 10:45

Companies provided inaccurate and misleading information along with other violations

A National Association of Securities Dealers task force has issued recommendations for expediting transfers of customer accounts from one brokerage firm to another through the Automated Customer Account Transfer System.The recommendations include a number of operational enhancements and regulatory measures, which are detailed in a report from the Customer Account Transfer Task Force. In its […]

Scope of violations indicate extensive reporting problems, regulator says

But panel rejects NASD Enforcement's call for sanctions in the amount of the total directed brokerage payments