National Association of Securities Dealers


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Related to National Association of Securities Dealers: National Association of Securities Dealers Automated Quotations, NASD, Securities and Exchange Commission, Financial Industry Regulatory Authority, FINRA

National Association of Securities Dealers (NASD)

Nonprofit organization formed under the joint sponsorship of the investment bankers' conference and the SEC to comply with the Maloney Act, which provides for the regulation of the OTC market.

Financial Industry Regulatory Authority

A self-regulatory organization that assists the SEC in regulating financial markets, notably exchanges and companies that deal with securities. Among other duties, FINRA enforces rules, arbitrates disputes, and provides training and licensing services. Contrary to the belief of some, it is not a government agency. It was created in 2007 with the merger of the National Association of Securities Dealers and the NYSE regulatory board.

National Association of Securities Dealers (NASD)

An association of over-the-counter brokers and dealers that establishes legal and ethical standards of conduct for its members. NASD was established in 1939 to regulate the OTC market in much the same manner as organized exchanges monitor actions of their members. One major advantage to membership is that members sell securities at wholesale to other members but at retail to nonmembers. See also Rules of Fair Practice, Uniform Practice Code.
What actions should I take if I feel my broker has acted inappropriately?

Inappropriate actions by a broker should be reported to the office manager. If nothing is done to solve the problem, a complaint can be filed with the firm's compliance department or the National Association of Securities Dealers. Information about filing a complaint with NASD can be found on the organization's website, www.nasdr.com.

George Riles, First Vice President and Resident Manager, Merrill Lynch, Albany, GA
References in periodicals archive ?
She also held various positions with the National Association of Securities Dealers (NASD) from 1986 to 1992.
WASHINGTON, July 13 /PRNewswire/ -- The National Association of Securities Dealers, Inc.
RE Securities, LLC is a licensed broker-dealer and member of the National Association of Securities Dealers (NASD).
NASD) discontinued trading of the common stock in the National Association of Securities Dealers Automated Quotation (NASDAQ) system because, as of Dec.
Hewitt works with investment banks, wire houses, and their senior officers in SEC, New York Stock Exchange and National Association of Securities Dealers enforcement investigations and in civil, criminal and administrative enforcement actions involving violations of federal securities laws.
Securities and Exchange Commission and a member of the New York Stock Exchange, the National Association of Securities Dealers, Inc.
Brown have been appointed managers, media services, of The NASDAQ Stock Market and its parent organization, the National Association of Securities Dealers, Inc.
Spellman, 202-728-8197, both of the National Association of Securities Dealers/ CO: National Association of Securities Dealers ST: District of Columbia IN: FIN SU: PER
He has also participated in panel discussions and been quoted in the media on regulatory developments at the Securities and Exchange Commission and National Association of Securities Dealers.
12 /PRNewswire/ -- Alden Adkins has been named by the National Association of Securities Dealers, Inc.
The Commission approved a proposed rule change submitted by the National Association of Securities Dealers (SR-NASD-2005-112) regarding amendments to Rule 3360 to expand short interest reporting to OTC equity securities.

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