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Investing > NASD (National Association Of Securities Dealers)
The following information is about NASD (National Association Of Securities Dealers).
NASD (National Association Of Securities Dealers) Defined
A nonprofit membership organization registered with the Securities and Exchange Commission (SEC) under the provisions of the Securities Exchange Act of 1934. Membership is limited and consists mostly of broker-dealers and investment banking houses. Basic goals of the NASD are to:
* Promote just and equitable principles of trade for the protection of investors;
* Adopt, oversee, and enforce rules of fair practice;
* Consult with government and investors on matters of common concern;
* Conduct periodic examinations and audits to ensure solvency and financial integrity among members.
See Also: Broker-Dealer; Investment Banker; Rules Of Fair Practice; Securities Exchange Act Of 1934; SEC
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Signature Bank to Present at the J.P. Morgan Tenth SMid Cap Conference
Published November 26, 2008, 2:00 am, Business Wire via Yahoo! Finance
NEW YORK----Signature Bank , a New York-based full-service commercial bank, announced today that its management plans to present its corporate story at the upcoming J.P. Morgan Tenth SMid Cap Conference.
Signature Bank to Present at 2008 FBR Capital Markets Fall Investor Conference
Published November 25, 2008, 2:00 am, Business Wire via Yahoo! Finance
NEW YORK----Signature Bank , a New York-based full-service commercial bank, announced today that its management plans to present its corporate story at the upcoming 2008 FBR Capital Markets Fall Investor Conference.
The Case Against Obama's Economic Advisors
Published November 24, 2008, 9:23 pm, About.com
Three days after the election, Barack Obama announced a 17-person "Transition" Economic Advisory Board. A few days later, Bloomberg columnist Jonathan Weil analyzed those choices. Business as usual or genuine...
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Mon Oct 22
- Compliance Laws - National Association of Securities Dealers - NASD 3010 - Email Archiving: Compliance Laws summary of National Association of Securities Dealers (NASD 3010 ) Email Archiving Law
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