He isn't a registered securities broker in Arizona or with the National Association of Securities Dealers.
The National Association of Securities Dealers says spreads on Nasdaq stocks are down 30% in the past year.
Any problems investors experience may be directed to the SEC or the National Association of Securities Dealers, Inc.
FORBES: 401(k)s: Far More Dangerous Than IRAs (March 2, 2001)
In the 1990s it was a playground for securities dealers manipulating bid-ask spreads.
While conducting an investigation last year, it occurred to us that there was no comprehensive source for researching securities dealers.
Letter to the National Association of Securities Dealers (NASD) Regarding Illegal Activity In the Pension Fund and Money Management Industry.
The National Association of Securities Dealers recently abandoned long- standing requirements that member companies use arbitration to resolve discrimination claims.
Softbank and the National Association of Securities Dealers just announced plans to jointly set up a Nasdaq market in Japan.
It also turned out that Applied's investment bank, Vertical Capital, had twice been fined by the National Association of Securities Dealers.
FORBES: As a businessman, he's been mixing with a sketchier crowd.
Collage is now in use at the National Association of Securities Dealers, the U.S. Joint Forces Command and the U.S. Defense Contracts Management Agency.
This idea has already been adopted by the National Association of Securities Dealers and other self-regulating bodies that govern Wall Street.
One almost laughable example of lame self-regulation: the BrokerCheck Program, run by the National Association of Securities Dealers, the brokerage industry's self-regulator.
Today, the NASD, formerly the National Association of Securities Dealers, fined J.
It was a stunning revelation, one that is now the subject of an arbitration complaint before the National Association of Securities Dealers.
San Diego securities attorney Ronald Marron has filed a complaint over Morgan Stanley's variable annuity sales practices with the National Association of Securities Dealers.
In 2002, Mr. Wey, without admitting nor denying wrongdoing, was fined and briefly suspended by the National Association of Securities Dealers, a former self-regulatory organization.
The options debacle helped drive a 24% increase last year in arbitration cases filed with the National Association of Securities Dealers to a record 6, 915.
The Siedle Directory of Securities Dealers, scheduled to be released in May, may never be published if the National Association of Securities Dealers has its way.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
The Directory provides retail and institutional investors alike with critical information regarding the integrity of all brokerage firms registered with the National Association of Securities Dealers, Inc.
FORBES: NASD Threatens Suit Over The Siedle Directory of Securities Dealers (March 1, 2002)
The independent consultants are scheduled to meet April 20 with the Securities and Exchange Commission, the National Association of Securities Dealers and the New York State attorney general.
The National Association of Securities Dealers, Inc. is attempting in litigation in Florida to thwart publication of The Siedle Directory which details the disciplinary histories of its members.
FORBES: Misdeeds of Stockbrokerages Under-reported (July 1, 2002)
The resulting competition from both domestic and international financial services companies is supposed to usher in a new era of efficient and world-class banks, insurers and securities dealers.
Linda Fienberg of the National Association of Securities Dealers says the data do not support that view, and she is taking steps to build trust in the process.
If the Fed buys back issued securities (such as Treasury bills) from large banks and securities dealers, it increases the money supply in the hands of the public.
The Philadelphia Stock Exchange , America's oldest, agreed in principle to merge with the American Stock Exchange and the National Association of Securities Dealers, which themselves plan to merge.
This category excludes securities dealers and commodity contracts dealers, but includes other sellers of financial contracts and could include portfolio managers and those who provide trust, fiduciary and custody services.
FORBES: Where to Look for Jobs: Profitable Industries May Be a Clue
Nasdaq has been seeking for some time to become independent from the National Association of Securities Dealers, which regulates the exchange, but the SEC has yet to make a decision.
That's the loans they'll make directly to banks, but not just to commercial banks as usual but also to securities dealers, which is something they haven't done since the Great Depression.
One of the savviest government securities dealers on Wall Street admits he knew better but, on a friend's tip, invested in a bogus penny stock traded on the Vancouver Stock Exchange.
The Siedle Directory of Securities Dealers provides retail and institutional investors alike with critical information regarding the integrity of all brokerage firms registered with the National Association of Securities Dealers, Inc. (NASD).
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