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nasd and regulation - All News and Analysis

• REGULATION

  - 2008-02-01

  This year promises to be filled with changes that will shake up the usually staid world of compliance and spark heated debates about the future of financial regulation in the United States. After years of increasing regulation, there's a growing backlash with Wall Street heavyweights lamenting the loss of...

  Tags: financial, FINRA, Government, NASD, regulation, Regulations, U.S.

• Lek Securities Wins NASD OATS Challenge

  - 2007-04-05

  --Decision Indicates Unmanageable Regulation and Lek calls for Continued Reform-- NEW YORK -- Lek Securities, a leading institutional direct access broker-dealer, today announced that the firm won a significant challenge to National Association of Securities Dealers' NASD charges that the broker-dealer did not submit trade information required for compliance...

  Tags: Government, NASD, regulation, Regulations

• NASD to emphasize regulation 'principles'; `One size fits all' rulemaking isn't the way to go, Schapiro says.(News)

  - 2007-04-02

  Byline: Bruce Kelly NEW YORK - NASD will put increasing emphasis on "principles based'' regulation rather than "one size fits all'' rulemaking, even as it concedes that such a move could confuse many in the brokerage industry. ...

  Tags: NASD, regulation

• A "TIC"ING TIME BOMB: RULE 506 MEETS SECTION 1031

  - 2007-01-01

  I. INTRODUCTION In 2002, the Internal Revenue Service issued Rev. Proc. 2002-22, clarifying when acquisition of a tenant-in-common interest in real estate qualifies as replacement real estate under section 1031. The result was creation of a new type of security, known as a tenants-in-common or "TIC," sold primarily through lower-tier...

  Tags: advertisement, commission, exemption, FINANCE, ING Group, investor, NAR, NASD, Regulation, Schultz, SEC, security, solicitation, tax

• Insurers wary of NASD/NYSE regulator; Cite `costly' compliance, non-inclusive rulemaking.(News)

  - 2006-12-11

  Byline: Gary S. Mogel NEW YORK - Life insurers are concerned that a combined NASD/NYSE regulator will promulgate rules without sufficient proof that additional regulation is necessary or without regard for compliance cost burdens, industry ob Byline: Gary...

  Tags: insurance company, NASD, NYSE Euronext, regulation, compliance

• The ADF Moves into the Reg NMS Era.(Alternative Display Facility)(Regulation NMS)

  - 2006-11-01

  NASD's sometimes-maligned Alternative Display Facility ADF is pushing to become a more formidable competitor to Nasdaq's and NSX's trading platforms. That's because ADF will be transacting American Stock Exchange and New York Stock Exchange-listed securities early next year as part of a package...

  Tags: NASD, Nasdaq Stock Market Inc., NETWORKING, NMS, regulation, SEC

• Lek Securities Challenges NASD Regulation

  - 2006-10-25

  Litigation Seeks to Abolish Burdensome Rules as Broker-Dealer Industry Fights for Survival in Era of Regulation Industry Veteran Samuel Lek Intends to Champion Regulatory Reform Through Pursuit of a Position on the NASD National Adjudicatory Council NEW YORK -- Lek Securities, a leading institutional direct access broker-dealer, will...

  Tags: Government, Litigation, NASD, regulation, Regulations

• Two different sets of rules for small and big brokers? Panels studying uniformity in NYSE-NASD regulation weigh changes.(News)

  - 2006-05-08

  Byline: Sara Hansard WASHINGTON - Smaller brokerage firms could have different regulations than large firms under plans being considered by industry officials and regulators, according to a top New York Stock Exchange regulator. Four co...

  Tags: NYSE Euronext, NASD, regulation

• Symantec releases Enterprise Vault(TM) Compliance Accelerator 6.0 for electronic messaging sampling and review; Symantec helps major securities firm comply with SEC and NASD regulations governing the retention and supervision of email, instant messages, b

  - 2005-11-29

  M2 PRESSWIRE-29 November 2005-SYMANTEC CORPORATION: Symantec releases Enterprise VaultTM Compliance Accelerator 6.0 for electronic messaging sampling and review; Symantec helps major securities firm comply with SEC and NASD regulations governing the retention and supervision of email, instant messages, bloomberg and digital fax messagesC1994-2005 M2 COMMUNICATIONS...

  Tags: compliance, E-mail, fax, IM, messaging, NASD, regulation, SEC, SECURITY, Symantec Corp., VERITAS Software Corp.

• When does a broker cross the line?(FOCUS: Banking and Finance)

  - 2005-09-26

  Under a new regulatory guideline to be complied with by Oct. 24, financial services professionals are required to designate themselves to their clients. They must reveal whether they are a wealth manager, a financial planner/adviser or just a represe Under a new regulatory guideline to be...

  Tags: banking, finance, financial, NASD, regulation, SEC