Welcome to Finextra. We use cookies to help us to deliver our services. We'll assume you're ok with this, but you may change your preferences at our Cookie Centre.
Please read our Privacy Policy.

Accept
Channels

Latest news and analysis on NASD Regulation (31 items)

30 Oct 2007
Company
Seven governors elected to Finra
16 Oct 2007
Company
Deutsche Bank selects Sutherland data management services for North America ops
12 Oct 2007
Company
Finra launches online compliance gateway
27 Sep 2007
Company
Morgan Stanley to pay $12.5m to settle Finra 9/11 e-mail charges
21 Sep 2007
Company
Complinet launches regulation monitoring tool
05 Sep 2007
Company
Finra adds market data section to Web site
27 Jul 2007
Company
SEC approves US watchdog merger
17 Jul 2007
Company
US broker watchdog changes name again
22 Jun 2007
Company
NASD slaps $2 million fine on Wachovia Securities
15 Jun 2007
News
Wall Street regulators to scrutinise electronic communications
30 May 2007
Company
NASD fines HSBC Brokerage $250,000 for best execution failures
19 Mar 2007
Company
NASD revamps online BrokerCheck service
05 Feb 2007
Company
NASD fines four Fidelity brokers $3.75m
29 Jan 2007
Company
NASD fines Bank of America $3m for anti-money laundering failures
22 Jan 2007
Company
NASD members approve regulatory merger with Nyse
20 Dec 2006
News
Morgan Stanley charged with using 9/11 smokescreen to hide vital e-mail evidence
04 Oct 2006
Company
NASD fines Oppenheimer $800,000 for reporting and e-mail failures
20 Sep 2006
Company
NASD fines three MetLife Securities firms $5 million
05 Sep 2006
Company
Nasd fines Morgan Stanley $2.9m for reporting and short-selling violations
11 Aug 2006
Company
Nasd fines Citi $1.1m
04 Aug 2006
News
NASD fines Brut $2.2m for reporting violations
26 Jul 2006
Company
NASD Chairman and CEO Glauber resigns
12 Jul 2006
News
NASD warns of bogus Web site scam
05 Jul 2006
Company
Nasd introduces educational regulatory Web casts
30 Jun 2006
Company
Nasd fines firms and traders $490K for Nasdaq trading system misuse
19 May 2006
Company
NASD introduces compliance podcasts
07 Apr 2006
Company
ABW Direct charged in squawkbox scandal
15 Mar 2006
Company
NASD fines Merrill Lynch $5 million for call centre failings
19 Jan 2006
Company
NASD's EVP of enforcement Barry Goldsmith to step down
22 Nov 2005
Company
NASD fines State Street Global Markets $1.4m for trade reporting failures
17 Nov 2005
Company
NASD launches online mutual fund tools