The News Agency of Nigeria (NAN) reported that NASD
PLC is the promoter of the OTC trading platform that eases secondary market trading of all unlisted securities in the country.
The trial court held that the case was firmly based on ordinary principles of contract law because the Fieros had expressly agreed to comply with all NASD
rules, including the imposition of fines and sanctions when they voluntarily executed the NASD
PANA reports that NASD
is an alternative trading platform created by the Association to bring more liquidity to NigeriaaACAOs capital markets.
When FINRA's predecessor, the NASD
, first became an SRO, it
The publication author and subsidy disclosure rules are related to NASD
and NYSE rules that prohibit firms from allowing the use of any title or designation that conveys an expertise in senior investments or retirement planning where such expertise does not exist, the FINRA officials write.
is concerned that aggressive marketing tactics, fueled by high commissions, may lead to inappropriate sales practices in connection with these transactions.
Hoitt said in NTM 05-50, the NASD
was acting beyond the scope of its authority in that EIAs are not securities.
Associate Accreditation NASD
. 58 Main St., Torrington, CT 06790; (860) 482-4413 Sharon E.
Should you find yourself a victim of unethical practices or shady dealings, immediately contact authorities at the SEC and officials at the NASD
to get an investigation going.
Another project that NASD
is involved with is the Jump$tart Coalition for Personal Financial Literacy.
The program's Web site, SaveAndInvest.org, has a plethora of investor information and links to the NASD
Web site, where further financial information can be found.
Wall Street Financial Training provides training for securities registration exams including a range of NASD
's Series exams.