It also stated that NASD
is not `just a private club,' but a self-regulatory organization, federally-mandated under .
will join the NSE, as well as the recently-created Alternative Securities Market (ASEM) designed for unlisted stocks and fast-growing Small and Mediun Enterprises(SMEaACAOs) to bring more choice and transparency to thousands of companies looking to trade their shares on an open, regulated market.
Although the NASD
was required by statute to regulate trading on NASDAQ,
The officials note that they refer separately to NASD
and NYSE rules in the notice because some FINRA member firms will be subject only to NASD
rules and some both to NASD
rules and to some NYSE rules, until FINRA members approve a consolidated rulebook.
Obligations under NASD
Rules for Firms and Associated Persons When Recommending or Facilitating the Sale of an Existing Variable Life Insurance Policy to Third Parties
's Notice to Members 05-50 has had a "chilling effect" on fixed indexed annuity sales.
of Dance BFA, BA, and BS; NASD
accredited 4600 Sunset Ave., Indianapolis, IN 46208 (317) 940-9346; www.butler.edu/dance
In addition, NASD
officials encourage investors to follow three basic rules: understand what you're buying and with whom you're dealing; invest based only on education and information--not on emotion; and, says Elisse Waiter, senior executive vice president for regulatory policy and programs at NASD
, "Remember, if it sounds too good to be true, it is too good to be true."
initiative is with Louisiana State University in Baton Rouge.
Baruch College, a City University of New York institution, recently received a grant award of $240,829 from the NASD
Investor Education Foundation to develop an interactive computer-based investment guide tailored to young adults making career choices.
, a brokerage regulator, said the 'pump and dump' spam messages have moved past e-mail and onto mobile phones.
The 6th edition of this handbook contains revisions and updates that include new amendments to NASD
rule 2710 (the so-called corporate financing rule); online Dutch auction procedures in use for the Google, Inc.