NASD Regulation, Inc. financial definition of NASD Regulation, Inc.
NASD Regulation, Inc.
NASD Regulation, Inc. (NASDR)
A subsidiary of the National Association of Securities Dealers established in 1996 in order to separate the regulation of broker-dealers from the operation of the Nasdaq Stock Market. NASDR oversees the activities of securities firms and registered securities professionals and has the power to censure, fine, and suspend NASD members. In addition, it oversees and regulates all trading on the Nasdaq Stock Market and the over-the-counter markets.
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
The IARD, which is being built and will be administered and operated by NASD Regulation, Inc.
(NASDR), will give investors easy access to information about investment advisers.
The ADS project team consisted of staff from NASD Regulation, Inc.
(Office of Technology Services and Market Regulation Department); NASD Production Services Department; and SRA International, Inc.
For risk managers looking to increase their arbitrament experience, the Office of Dispute Resolution for NASD Regulation, Inc.
has sent out the call for arbitrators to hear disputes and render decisions in cases involving customer complaints and employment issues concerning National Association of Securities Dealers members.