National Association of Securities Dealers

Type: Organization
Name: National Association of Securities Dealers
First reported Oct 28 2014 - Updated Oct 28 2014 - 1 reports

Legg Mason Names Joseph A. Sullivan Chairman

JOHN V. MURPHY NAMED AS LEAD INDEPENDENT DIRECTORBALTIMORE , Oct. 28, 2014 /PRNewswire/ -- The Board of Directors of Legg Mason , Inc. ( NYSE: LM ) announced that Joseph A. Sullivan , President and Chief Executive Officer, was elected Chairman of the ... [Published Minyanville - Oct 28 2014]
First reported Oct 28 2014 - Updated Oct 28 2014 - 2 reports

The 401(k) Event Horizon

Oct. 28, 2014 8:29 AM ET by:By Scott Klimo, Director of Research and Portfolio Manager Amana Developing World Fund"Tired of lying in the sunshine staying home to watch the rainYou are young and life is long and there is time to kill todayAnd then one ... [Published Seeking Alpha - Oct 28 2014]
First reported Oct 28 2014 - Updated Oct 28 2014 - 1 reports

Citigroup Inc. Recovery Results In Best Value Bond Trade Ranking

, there were 14,493 bond trades on 2,875 issues of 919 bond issuers representing underlying principal of $3.68 billion. We rank the best value trades by our usual criterion, the ratio of credit spread to matched maturity default probability. Citigroup ... [Published Seeking Alpha - Oct 28 2014]
First reported Oct 27 2014 - Updated Oct 27 2014 - 1 reports

FINRA Proposes Rule Strengthening Background Checks

Last month, the Financial Industry Regulatory Authority (FINRA) issued a proposed rule requiring member firms to strengthen their background investigations of applicants seeking registration.The proposed rule adopts, in large part, an old rule issued ... [Published JD Supra - Oct 27 2014]
First reported Oct 20 2014 - Updated Oct 21 2014 - 1 reports

FINRA Again Cautions Against Confidentiality Provisions Silencing Whistleblowers

As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder ( Regulatory Notice 14-40 ) warning firms against the use of confidentiality provisions in settlement agreements that ... [Published JD Supra - Oct 20 2014]
First reported Oct 20 2014 - Updated Oct 21 2014 - 1 reports

3 Reasons Why Kinder Morgan Energy Partners Is The Best Value Long Bond Trade

Summary On October 17, there were 16,317 corporate bond trades in 2,876 bond issues of 931 bond issuers worth $5.17 billion. We rank the issues of 20 years or more in maturity by the ratio of credit spread to default probability. Kinder Morgan Energy ... [Published Seeking Alpha - Oct 20 2014]
First reported Oct 07 2014 - Updated Oct 07 2014 - 1 reports

Nasdaq: Everything Is Not As It Seems

the NASDAQ Composite index is up 6.95% year-to-date, despite the recent downturn in the market. The darling tech stocks continue to come up with new and innovative ideas for products and services to drive their bottom lines.The NASDAQ is only down -2.86% ... [Published Forbes.com - Oct 07 2014]
Entities: NASDAQ, Stocks, Index
First reported Oct 06 2014 - Updated Oct 07 2014 - 1 reports

NYSE Turn to its Subsidiary for Surveillance, Investigation and Enforcement Instead of FINRA

NYSE Group, a wholly-owned subsidiary of Intercontinental Exchange (NYSE: ICE), today announced NYSE Regulation will directly perform the market surveillance, investigation and enforcement functions for NYSE Group’s three equities exchanges and two options ... [Published Forex Magnates - Oct 06 2014]
First reported Sep 29 2014 - Updated Sep 30 2014 - 1 reports

NASDAQ OMX Executive Vice President John L. Jacobs to Retire

- Will serve as strategic advisor to the company through 2015 -- Creator of NASDAQ-100 Index Tracking Stock SM (QQQ) -NEW YORK, Sept. 29, 2014 (GLOBE NEWSWIRE) -- NASDAQ OMX today announced longtime senior executive John L. Jacobs will retire after more ... [Published InvestorPoint.com - Sep 29 2014]
First reported Sep 23 2014 - Updated Sep 23 2014 - 1 reports

Four New York-Based FordHarrison Attorneys Named to 2014 Super Lawyers and Rising Stars Lists

FordHarrison LLP, one of the country's largest management-side labor and employment law firms, is pleased to announce that Philip K. Davidoff, Eric Su, and Stephen Zweig, Partners in the firm's New York office, have been selected to the 2014 "New York ... [Published Ford & Harrison - Sep 23 2014]
First reported Sep 23 2014 - Updated Sep 23 2014 - 1 reports

Over The Counter market hits 1 billion in deals

EQUITIES worth more than ₦1 billion have been successfully executed on the newly created Over The Counter [OTC]  market of the National Association of Securities Dealers [NASD]By this number, investors’ regulators and brokers can reliably refer to transaction ... [Published The Guardian Nigeria - Sep 23 2014]
First reported Sep 18 2014 - Updated Sep 18 2014 - 2 reports

FINRA Marks 75th Anniversary of Protecting Investors

WASHINGTON--(EON: Enhanced Online News)--The Financial Industry Regulatory Authority (FINRA) marked the 75th anniversary of the creation of the National Association of Securities Dealers (NASD) in 1939. In 1938, the Maloney Act amended the Securities ... [Published EON Business - Sep 18 2014]

Quotes

"Tired of lying in the sunshine staying home to watch the rain"
Speaking for the Board of Directors, Mr. Kass said, "This appointment is in recognition of the strong business results and momentum achieved by Legg Mason under Joe Sullivan's leadership over the last two years.  Joe has built a strong executive team, strengthened the company's portfolio of investment managers, streamlined the firm's operations and enhanced Legg Mason's world class distribution capabilities. The Board congratulates Joe and looks forward to working with him in both his Chairman and CEO roles to continue to deliver ever increasing value to our shareholders."
...is rare to have the opportunity during your career to work with someone of John's character and caliber," commented Bob Greifeld, CEO, NASDAQ OMX. "We have been incredibly fortunate to be the beneficiary of his leadership, countless contributions and dedication—much of which has indelibly influenced the company NASDAQ OMX is today. What is more remarkable is the untiring energy and passion for the business and the industry he has shown for the last three decades. We thank him and his family today for his service to this organization."
...NASD’s mandate was "to protect investors and the public interest, and to remo"

More Content

All (37) | News (23) | Reports (0) | Blogs (7) | Audio/Video (0) | Fact Sheets (5) | Press Releases (2)
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Apollo Global Management, LLC Reports Third Qua... [Published Wall Street Select - 5 hours ago]
The 401(k) Event Horizon [Published Seeking Alpha - Oct 28 2014]
Legg Mason Names Joseph A. Sullivan Chairman [Published Minyanville - Oct 28 2014]
Citigroup Inc. Recovery Results In Best Value B... [Published Seeking Alpha - Oct 28 2014]
Making Sense Of The Bond Market [Published Seeking Alpha - Oct 28 2014]
FINRA Proposes Rule Strengthening Background Ch... [Published JD Supra - Oct 27 2014]
3 Reasons Why Kinder Morgan Energy Partners Is ... [Published Seeking Alpha - Oct 20 2014]
FINRA Again Cautions Against Confidentiality Pr... [Published JD Supra - Oct 20 2014]
Royal Bank Of Canada Leads The 20 Best Value Bo... [Published Seeking Alpha - Oct 13 2014]
Hewlett-Packard Company Bonds: Default Risk Dro... [Published Seeking Alpha - Oct 09 2014]
Nasdaq: Everything Is Not As It Seems [Published Forbes.com - Oct 07 2014]
NYSE Turn to its Subsidiary for Surveillance, I... [Published Forex Magnates - Oct 06 2014]
Perkins Promoted at FINRA, Takes Over One of Fi... [Published Bank Investment Consultant - Oct 01 2014]
Hess Corporation Leads 10 Best Value Long Bond ... [Published Seeking Alpha - Sep 30 2014]
TRADERS ON THE MOVE: Nasdaq's Jacobs Retires; T... [Published Traders Magazine - Sep 29 2014]
NASDAQ OMX Executive Vice President John L. Jac... [Published InvestorPoint.com - Sep 29 2014]
Bowsher first colloquia speaker of semester [Published Bolivar Commercial - Sep 24 2014]
Four New York-Based FordHarrison Attorneys Name... [Published Ford & Harrison - Sep 23 2014]
Berkshire Hathaway Leads The 20 Best Value Bond... [Published Seeking Alpha - Sep 23 2014]
GECC: Bond Default Risk Falls But The Brand Nam... [Published Seeking Alpha - Sep 23 2014]
Over The Counter market hits 1 billion in deals [Published The Guardian Nigeria - Sep 23 2014]
FINRA Marks 75th Anniversary of Protecting Inve... [Published EON Business - Sep 18 2014]
FINRA Marks 75th Anniversary of Protecting Inve... [Published FINRA Newsroom - Sep 18 2014]
FINRA Marks 75th Anniversary of Protecting Inve... [Published Business Wire Professional Services News - Sep 18 2014]
Exclusive : Wall Street Watchdog To Pick Inside... [Published Clusterstock - Sep 11 2014]
Successful ecommerce takes more than online pre... [Published Venturebeat - Aug 27 2014]
Helen Davis Chaitman on "In Bed with Wall Street" [Published Zero Hedge - Aug 14 2014]
Meet The Executives Of The Mysterious Social Ne... [Published Clusterstock - Jul 14 2014]
5 Years Ago Bernie Madoff Was Sentenced to 150 ... [Published Clusterstock - Jul 01 2014]
Business Beat June 1, 2014 [Published Spokesman-Review.com - Jun 01 2014]
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Blogs

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FINRA Marks 75th Anniversary of Protecting Inve... [Published EON Business - Sep 18 2014]
WASHINGTON--(EON: Enhanced Online News)--The Financial Industry Regulatory Authority (FINRA) marked the 75th anniversary of the creation of the National Association of Securities Dealers (NASD) in 1939. In 1938, the Maloney Act amended the Securities ...
FINRA Marks 75th Anniversary of Protecting Inve... [Published Business Wire Professional Services News - Sep 18 2014]
WASHINGTON--(BUSINESS WIRE)--The Financial Industry Regulatory Authority (FINRA) marked the 75th anniversary of the creation of the National Association of Securities Dealers (NASD) in 1939. In 1938, the Maloney Act amended the Securities Exchange Act ...
Exclusive : Wall Street Watchdog To Pick Inside... [Published Clusterstock - Sep 11 2014]
<p><img class="float_right" src="http://static6.businessinsider.com/image/5412134c5afbd3e4188b4567-450-300/exclusive--wall-street-watchdog-to-pick-insider-as-arbitration-head---source-2014-9.jpg" border="0" alt="Richard Ketchum, chairman and CEO of FINRA, ...
Successful ecommerce takes more than online pre... [Published Venturebeat - Aug 27 2014]
Image Credit: Irrational cat via Flickr “Be disrupted, or disrupt yourself,” says Mike Stiller, associate director of corporate solutions at NASDAQ, in a phone call with VentureBeat. That’s the key takeaway from a new study he co-authored on ecommerce ...
Helen Davis Chaitman on "In Bed with Wall Street" [Published Zero Hedge - Aug 14 2014]
Helen Davis Chaitman is a well-known attorney with extensive experience in the areas of lender liability, bankruptcy, bank fraud, RICO, professional malpractice, trusts and estates, and white collar defense. The National Law Journal named her as one ...
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Press Releases

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FINRA Marks 75th Anniversary of Protecting Inve... [Published FINRA Newsroom - Sep 18 2014]
Fusion Resources, LLC Sets the Stage for Nation... [Published GlobeNewswire: Acquisitions News - May 28 2014]
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