...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...
...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...
...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...
...Courier-Post since Jan. 1, 1994. Firm not suspected of mob ties NEW YORK - The regulatory arm of the National Association of Securities Dealers Inc. has told William V. Frankel & Co. that it is not investigating the firm in its probe of mob...
...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...
...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...
...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...
...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...
...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...
...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...
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