Investors on the NASD Over-the-Counter Securities Exchange recorded a N1.90tn gain last week as the market capitalisation rose by 1.86 per cent.According to the NASD weekly report for the week ended ...

NEW YORK, Oct. 6 -- NASD, the securities industry's principal self-regulatory body, rebuked Wall Street firms on Thursday for not turning over relevant internal documents in investor arbitration ...

A NASD panel concluded that Kelly took advantage of an “unsophisticated” investor by using his account to make more than 540 trades in little more than a year, generating tens of thousands of ...

“We don’t oppose the choice the parents have,” NASD Superintendent Christopher Dormer said. “The law is fundamentally flawed and takes money away from this district that we desperately ...

The NASD noted in its report that the document, which consists of two pages, is modeled after the short summary prospectuses, called “profiles,” that the SEC said mutual funds could offer ...

Yesterday – on the eve of Mack’s one-year anniversary at the helm – the other shoe fell, with the NASD fining and suspending current and former CSFB employees integral to the scandal.

A crooked band of brokers with links to organized crime ran amok cheating the elderly out of millions in a Brooklyn bucket shop, the NASD said. The fast-talking gang at Yankee Financial Group ...

Hello! I am Monica D’Antonio, current vice president of the Norristown Area School District (NASD) Board of School Directors and incumbent seeking election for another term. I am lucky to have ...

“There’s no way for anybody to remove all of the conflicts of interest,” said Mary Schapiro, president of the NASD’s regulatory unit. “But this goes a long way toward disclosing what ...

The NASD on Tuesday accused the firm’s retail brokerage unit of routinely withholding or erasing e-mails and falsely claiming that they had been lost in the 9/11 attacks. Penalties could include ...