NASD

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Related to Financial Industry Regulatory Authority: Securities and Exchange Commission

NASD

abbr.
National Association of Securities Dealers
References in periodicals archive ?
The acquisition will be subject to regulatory approval from the Financial Industry Regulatory Authority, the applicable regulatory authority in the US, and the acquisition is expected to close in late 2017 or early 2018.
Summary: The Financial Industry Regulatory Authority (FINRA) issued fewer overall fines in 2014, but if you were one of their targets, chances are you paid a ...
The award of the bonuses to all 9 executive committee members of the Financial Conduct Authority -- the U.K.'s counterpart to the Financial Industry Regulatory Authority in the U.S.
Fines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug.
Meanwhile, the Financial Industry Regulatory Authority (FINRA) recently issued a similar alert, while the North American Securities Administrators Association (NAS) added virtual currencies to its list of top 10 investor threats for 2013.
He is a registered Financial Industry Regulatory Authority (FINRA).
The Financial Industry Regulatory Authority (FINRA) favors the bill and said in a statement, "...the current level of I.A.
Rick Ketchum, head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said the question is "a matter of regulatory concern" for his organisation and the Securities and Exchange Commission.
Tuesday, the Financial Industry Regulatory Authority accused McKee of defrauding customers of at least $370,000 and improperly using at least $650,000 of customers' money for his own benefit,
The company is changing the stock symbol with the approval from the Financial Industry Regulatory Authority.
Citing records with the Financial Industry Regulatory Authority (Finra), the report said that William McKenna has joined UBS in Red Bank, New
Social networking sites within financial industries have escalated in use so much that UK's Financial Services Authority (FSA) and USA's Financial Industry Regulatory Authority (FINRA) have issued guidance notes.
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