National association of securities dealers (nasd)
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
More National association of securities dealers (nasd) articles
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 and central clearing. Theo Lubke, senior vice-president...
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...
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...
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.
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future
USA, 9th Dec 2013
USA, 10th Dec 2013
UK, 18th Dec 2013
UK, 12th Feb 2014
UK, 13th Feb 2014
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