Company: National Association of Securities Dealers

131 results found

Scheme maintain short positions in OTC stocks on behalf of three hedge funds

  • By: IE Staff
  • June 13, 2005 June 13, 2005
  • 10:25

Penalites total more than US$2.9 million

U.S. regulator finds 15 broker-dealers giving preferential treatment

Web site explains bond markets for retail investors

NASD says former Fahnestock & Co. failed to report more than 6,100 municipal bond transactions

  • By: IE Staff
  • May 5, 2005 May 5, 2005
  • 16:00

Education group asking for grant proposals “that will significantly improve the current disclosure regime”

NASD issues US$750,000 penalty for violations relating to firms’ fee-based brokerage business

  • By: IE Staff
  • April 27, 2005 April 27, 2005
  • 15:55

Regulator would remove cash, non-cash incentives

NASD accuses American Funds of "directed brokerage"

Exchange, NASD agree to boost oversight