NASD


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Related to NASD: NASDAQ, NYSE, FINRA, NSD

NASD

Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

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.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved

NASD

Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.
References in periodicals archive ?
aACoeThe NASD offers investors an alternative way of accessing capital for growth in an efficient manner.
A variable life insurance policy is a security, and the sale of such a product in the secondary market is a securities transaction subject to NASD rules.
Linda Graham, BA, BS in Dance Accredited by NASD; Ballet, Jazz, Modern, Tap.
Glauber, chairman and CEO of NASD. "This online tool will allow them to experiment with and manipulate key variables that predict long-term financial security in a simulated environment."
According to the NASD, there have been a fairly low number of illegal spamming cases to mobile phones in the US - it claimed the spams aimed at investors are currently much more likely to be sent by e-mail.
In March, the National Association of Securities Dealers (NASD) issued clear and unequivocal guidance concerning compensation of real estate licensees who represent clients seeking replacement properties or other TIC investment opportunities.
NLC encourages cities and towns to participate in National Alcohol Screening Day (NASD), a free program that offers communities the chance to educate the public about alcohol's impact on health.
Most of the OSD standards work is being coordinated among the National Storage Industry Consortium's Network Attached Storage Devices (NASD), American National Standards Institute (ANSI), and the Storage Networking Industry Association (SNIA) committees.
As with the NASD and the stock exchanges, the SEC must approve its rules and review its decisions.
Barksdale's offense, which he neither admitted nor denied in agreeing to the fine and suspension, was described in very general terms by the NASD: "[H]e solicited an attorney to make contributions to public officials so that the attorney might receive favorable consideration as bond counsel on future issues of municipal securities while Barksdale's member firm was engaging in municipal securities business with the issue."
For example, the National Association of Securities Dealers (NASD), the largest securities dispute resolution forum in the world, reported a 56% increase in arbitration cases filed against securities firms and their employees (e.g., stockbrokers) by investors from 1998 to 2002, and a 17% increase in 2003.