Home National Association of Securities Dealers Page 8

Company: National Association of Securities Dealers

131 results found

NASD sanctions firms for excessive markups on bond trades

RBC affiliates fined

NASD fines Green Street US$150,000 for issuing research reports prepared by unregistered analysts

Analysts issued over 120 reports before taking and passing qualifying exams

NASD, Bloomberg unveil corporate bond indices

Investment grade, high yield market benchmarks to aid retail investors

NASD charges eight firms with directed brokerage violations

Imposes fines totalling more than US$7.75 million

NASD fines three firms for permitting improper market timing

US$1.5 million fine largest yet imposed by NASD in a market timing case

NASD to expand public dissemination of corporate bond transaction data

Seeks rule amendments to add final segment of high-yield bonds to real-time reporting

Morgan Stanley fined US$1.5 million for failing to supervise fee-based brokerage program

Clients to receive US$4.6 million in restitution

NASD issues fraud warning

Investor alert highlights risks involved in online transactions

  • By: IE Staff
  • July 28, 2005 July 28, 2005
  • 16:30

U.S., UK regulators to offer common securities exam

Global Capital Markets qualification would allow traders to move easily between countries

Nasdaq transfers OTC business to NASD

Shift designed to help Nasdaq achieve exchange status