“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 ...

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 ...

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.

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 ...

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 ...

Securities industry regulator NASD has dropped its final effort to discipline former Credit Suisse First Boston LLC investment banker Frank P. Quattrone for alleged misbehavior during the 1990s ...

“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 ...

Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions ...

The roots of FINRA come from two organizations: the National Association of Securities Dealers, or NASD, and the New York Stock Exchange, or NYSE. The NASD was created in 1939, after the Maloney ...

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 ...