National Association of Securities Dealers

Type: Organization
Name: National Association of Securities Dealers
First reported 8 hours ago - Updated 8 hours ago - 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 - 8 hours ago]
First reported Sep 18 2014 - Updated Sep 18 2014 - 3 reports

FINRA Marks 75th Anniversary of Protecting Investors

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…Click to Continue » ... [Published Fort Mills Times - Sep 18 2014]
First reported Sep 17 2014 - Updated Sep 17 2014 - 1 reports

Affimed N.V. (0001608390)

POS EX Documents Post-effective amendment adding exhibits to registration statement [Rule 462(d)]Acc-no: 0001193125-14-343974 (33 Act) Size: 363 KB 2014-09-17 333-197097141107053 424B4 Documents Prospectus [Rule 424(b)(4)]Acc-no: 0001193125-14-342721 ... [Published SEC - Sep 17 2014]
First reported Sep 16 2014 - Updated Sep 16 2014 - 1 reports

Bowsher First Colloquia Speaker of Semester

Targeted News ServiceCLEVELAND, Sept. 15 -- Delta State University issued the following news release:The Delta State University Colloquia Distinguished Speakers Lecture Series kicks off the fall semester featuring a speaker with extensive experience in ... [Published Insurance News Net - Sep 16 2014]
First reported Sep 11 2014 - Updated Sep 12 2014 - 3 reports

Exclusive : Wall Street watchdog to pick insider as arbitration head - source

REUTERS — 3 MINUTES AGOBy Suzanne Barlyn(Reuters) - The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar with the matter.FINRA, ... [Published Fidelity Brokerage Services LLC - Sep 11 2014]
First reported Sep 11 2014 - Updated Sep 11 2014 - 1 reports

Investment experts push Private Equity Fund bill

Puerto Rico needs to approve pending legislation to create the ground rules for the local launch of private-equity funds to raise sufficient capital to drive economic development.That's the word from finance industry veterans who believe Puerto Rico could ... [Published Caribbean Business Online - Sep 11 2014]
First reported Sep 08 2014 - Updated Sep 09 2014 - 1 reports

NASD Explains Pricing Dynamics on Its OTC Market

By Eromosele AbiodunFollowing several enquiries it has received regarding pricing on the National Association of Securities Dealers (NASD) Over-the-Counter (OTC) market, the management of the NASD Plc has explained its pricing model to the investing ... [Published This Day Online - Sep 08 2014]
First reported Aug 27 2014 - Updated Aug 27 2014 - 2 reports

Successful ecommerce takes more than online presence, says new NASDAQ study

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 ... [Published Venturebeat - Aug 27 2014]
First reported Aug 25 2014 - Updated Aug 25 2014 - 1 reports

Corporate whistleblowers: Justice, greed?

Joseph N. DiStefanoPosted:Monday, August 25, 2014, 3:20 PMBryn Mawr lawyer and ex-Pa. General Assembly aide Mark D. Schwartz was head of Prudential-Bache Securities' Philadelphia public-finance office in the mid-1980s when he objected to the corrupt practice ... [Published Philly.com - Aug 25 2014]
First reported Aug 19 2014 - Updated Aug 20 2014 - 2 reports

Durham court sentences Reinhardt to 15 to 20 years for securities fraud

DURHAM — Superior Court Judge Bryan Collins sentenced Walter Ray Reinhardt to 15 to 20 years in prison on Tuesday for a fraud that cost at least 16 Durham-area residents more than $1 million.Reinhardt, 64, pleaded guilty Monday to 40 counts of securities ... [Published Durham News - Aug 20 2014]
First reported Aug 19 2014 - Updated Aug 19 2014 - 1 reports

Durham man pleads guilty to bilking retirees out of life savings

Durham, N.C. — Walter Reinhardt, the Durham man accused of taking more than $1 million from educators through fraudulent investments, has pled guilty to more than 40 charges of securities fraud, common law forgery and common law uttering, sources confirmed ... [Published WRAL - Aug 19 2014]
First reported Aug 18 2014 - Updated Aug 18 2014 - 1 reports

Six institutions join OTC market

NATIONAL Association of Securities Dealers (NASD) has  announced  six financial institutions that have joined the Over The Counter [OTC] participating institutions.Participating institutions are stockbroking firms and issuing houses which have applied ... [Published The Guardian Nigeria - Aug 18 2014]

Quotes

...NASD’s mandate was "to protect investors and the public interest, and to remo"
"This is a university-wide program that will continue to bring a unique and diverse array of people -- from judges, former government officials, lawyers and business people. These are all folks our students can look up to."
Kamakura Corporation has created just such an index, labeled the "U S DollarS Dollar Cost of Funds Index TM ." The U S Dollar Cost of Funds Index TM measures the trade-weighted cost of funds for the largest deposit-taking U S bank holding companies...
"/> By Suzanne Barlyn (Reuters) - The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar with the matter. FINRA, Wall Street's industry-funded watchdog, will replace the retiring chief of its arbitration unit with either Richard Berry, the unit's director of case administration, or Kenneth Andrichik, its mediation director, the person said. Linda Fienberg, who has been FINRA's arbitration head for 18 years, will retire at the end of November, the regulator said last Wednesday. FINRA develops and enforces securities industry rules, and oversees the forum in which investors must resolve their legal disputes with brokerage firms. Investors consent to the mandatory arbitration process when they sign agreements to open accounts. Berry did not immediately return a call requesting comment. Andrichik declined to comment. It is unclear when FINRA will make its decision, the person said. Berry and Andrichik have long worked for FINRA and its predecessor organization, the National Association of Securities Dealers. Berry, who has a law degree from the University of California Hastings College of the Law in San Francisco, joined the regulator in 1995, according to his LinkedIn profile. Andrichik has worked for FINRA since 1980, according to his LinkedIn profile. He has a law degree from Loyola University Chicago School of Law. FINRA's departing arbitration head, Fienberg, has overseen many changes to the authority's controversial arbitration process, including removing a mandatory industry-affiliated arbitrator on each three-person arbitration panel. Critics of the system said it was biased in favor of Wall Street firms. Fienberg's retirement comes as a plan to restrict industry veterans from acting as arbitrators in many disputes between investors and their brokerages is pending at the U S Securities and Exchange Commission. Fienberg also serves as FINRA's chief hearing officer, overseeing the program through which FINRA conducts hearings involving brokers and Wall Street firms facing discipline by the regulator. The position will be filled separately."

More Content

All (45) | News (29) | Reports (0) | Blogs (9) | Audio/Video (0) | Fact Sheets (5) | Press Releases (2)
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Over The Counter market hits 1 billion in deals [Published The Guardian Nigeria - 8 hours ago]
FINRA Marks 75th Anniversary of Protecting Inve... [Published Fort Mills Times - Sep 18 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]
Affimed N.V. (0001608390) [Published SEC - Sep 17 2014]
Bowsher First Colloquia Speaker of Semester [Published Insurance News Net - Sep 16 2014]
Hess Corporation And Apache Corporation Lead 10... [Published Seeking Alpha - Sep 16 2014]
Comparing The Marginal Cost Of Funds For Berksh... [Published Seeking Alpha - Sep 14 2014]
Exclusive : Wall Street watchdog to pick inside... [Published Fidelity Brokerage Services LLC - Sep 11 2014]
Exclusive : Wall Street Watchdog To Pick Inside... [Published Clusterstock - Sep 11 2014]
EXCLUSIVE-Wall St. watchdog to pick insider as ... [Published CNBC - Sep 11 2014]
Bank Of America: A Pre-Stress Test Credit Repor... [Published Seeking Alpha - Sep 11 2014]
Investment experts push Private Equity Fund bill [Published Caribbean Business Online - Sep 11 2014]
Bank Of America And Its High Marginal Cost Of F... [Published Seeking Alpha - Sep 10 2014]
NASD Explains Pricing Dynamics on Its OTC Market [Published This Day Online - Sep 08 2014]
FINRA Arbitration Head Fienberg to Step Down [Published AdvisorOne - Sep 04 2014]
WellPoint Leads The 20 Best Value Bond Trades W... [Published Seeking Alpha - Sep 02 2014]
Successful ecommerce takes more than online pre... [Published Venturebeat - Aug 27 2014]
Successful ecommerce takes more than online pre... [Published Venturebeat - Aug 27 2014]
WellPoint Leads 20 Best Value Bond Trades With ... [Published Seeking Alpha - Aug 26 2014]
Corporate whistleblowers: Justice, greed? [Published Philly.com - Aug 25 2014]
TrustBond Mortgage Bank lists shares on NASD [Published The Nation Nigeria - Aug 21 2014]
Durham court sentences Reinhardt to 15 to 20 ye... [Published Durham News - Aug 20 2014]
Durham man receives 15-20 years in prison for s... [Published WRAL - Aug 19 2014]
Bond Market Battle: Berkshire Hathaway Vs. Kind... [Published Seeking Alpha - Aug 19 2014]
More Evidence On The Funding 'Subsidy' Of The T... [Published Seeking Alpha - Aug 19 2014]
Durham man pleads guilty to bilking retirees ou... [Published WRAL - Aug 19 2014]
Six institutions join OTC market [Published The Guardian Nigeria - Aug 18 2014]
Securities broker-dealer registration requireme... [Published Hospitality Net - Aug 17 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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