National association of securities dealers (nasd)
US SEC slams Finra for altering documents
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Finra must improve after misleading regulator, order says
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Banks could lose margins and competitive edge as a result of derivatives reforms in Dodd-Frank Act
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The Federal Reserve Bank of New York has been shepherding global efforts to improve the over-the-counter derivatives market since 2005 and continues to push dealers to improve in areas such as transparency...
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More National association of securities dealers (nasd) articles
Driving in reverse
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Despite The Wall Street Journal lambasting equity-linked reverse convertibles as ‘dangerous investments’ and a chorus of bad press culminating in regulatory fines, the products continue to attract capital from the US retail sector. Joti Mangat asks...
Eight CEOs face congressional bonus questions
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The need for discretionary pay was one of numerous thorny issues put to chief executives of eight major banks during a hearing of the US House Financial Services Committee in Washington, DC.
The enforcer
Original headline:
Victoria Pennington talks to Richard Ketchum, chief executive of NYSE Regulation, about the difficulties of dealing with the increased challenge of market surveillance and also discusses some of the major milestones in the development of the New York...
In the line of fire
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In the global fight against money laundering, financial institutions are developing various hi-tech weapons. Peter Madigan reports
US retail in the firing line
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New guidance from the National Association of Securities Dealers has put the retailisation of the US market in the firing line, sparking anger and confusion among distributors and structurers alike. By Paul Lyon
Structured products in the spotlight
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Concerns over the mis-selling of structured products to investors in the US have prompted the National Association of Securities Dealers (NASD) to issue guidelines to ensure members fall within the scope of sales practice codes.
SEC chief steps down
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Chairman of the US Securities & Exchange Commission (SEC) William Donaldson has resigned his position to return to the private sector, leaving a demanding job at the country's lead regulatory agency of the securities industry.
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