Refine Search

  •  
  •  
Investors suing brokerage over big stock losses

...Stock Exchange and National Association of Securities Dealers Inc., the securities...spokesman for the National Association of Securities Dealers. Mr. Hendrix's...734-9916. - Reach the National Association of Securities Dealers Inc. at (800...

http://chronicle.augusta.com/stories/2006/12/17/bus_108869.shtml
Business
Aiken County election sample ballot

...exchange as provided in the Securities Exchange Act of 1934 or any successor act, or quoted through the National Association of Securities Dealers Automatic Quotations System or similar service? Yes [ ] No [ ] Explanation of above: Currently, South...

http://chronicle.augusta.com/stories/2006/11/05/aik_103040.shtml
Legislation passed to protect finances of military

...commissions of up to 50 percent in the first year and penalizes those who stop investing in the plan. The National Association of Securities Dealers, the brokerage industry's self-policing organization, last February announced a $6.8 million...

http://chronicle.augusta.com/stories/2006/09/22/bus_97636.shtml
Business
Fee-based planner can eliminate biased advice

...per hour for advice. Before engaging any professional, ask them how they are paid and log on to the National Association of Securities Dealers Web site at www.nasd.com to see whether any ethical complaints have been filed against them. You...

http://chronicle.augusta.com/stories/2005/05/22/bus_453900.shtml
Business
Fidelity trader's departure is fifth amid ethics probe

...an ongoing industrywide probe disclosed in November by the Securities and Exchange Commission and the National Association of Securities Dealers, an industry organization. That probe involves conflicts of interest including broker gifts to traders...

http://chronicle.augusta.com/stories/2005/03/26/bus_448441.shtml
Business
Companies pay SEC fines over mutual funds

...agreements. In a related move, the National Association of Securities Dealers disclosed that Citigroup, American Express...Commission: http://www.sec.gov National Association of Securities Dealers: http://www.nasd.com Citigroup...

http://chronicle.augusta.com/stories/2005/03/24/bus_448229.shtml
Business
SEC suspends trading in 26 companies

...Dec. 15 if the companies file the required reports. Most of the companies' shares are traded on the National Association of Securities Dealers' OTC Bulletin Board, an electronic trading system for small stocks that are thinly traded. The SEC...

http://chronicle.augusta.com/stories/2004/12/02/bus_436035.shtml
Business
Pitfall on the 529 path: fees that negate tax breaks

...managed by well-known companies with big marketing budgets. That study comes as the NASD, formerly the National Association of Securities Dealers, which regulates brokers, is investigating 20 firms that have put the vast majority of their clients...

http://chronicle.augusta.com/stories/2004/11/29/fin_435774.shtml
Finance
Business briefs

...2001 and touting them as a safe investment when the energy-trading giant had begun to collapse. The National Association of Securities Dealers, the brokerage industry's self-policing organization, announced its complaint Monday against the...

http://chronicle.augusta.com/stories/2004/11/09/bus_433853.shtml
Business
NASD orders first-ever suspension of mutual-fund business

WASHINGTON (Dow Jones/AP) - The National Association of Securities Dealers for the first time prohibited a regulated firm from opening mutual-fund accounts for new clients for 30 days - for allegedly...

http://chronicle.augusta.com/stories/2004/08/20/fin_425848.shtml
Finance