Works matching DE "NATIONAL Association of Securities Dealers"
Results: 49
DOES THE STOCK MARKET PUMSH CORPORATE MALFEASANCE? A CASE STUDY OF CITIGROUP.
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- Corporate Ownership & Control, 2006, v. 3, n. 3, p. 151
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- Article
Liability of Broker-Dealers for Unsuitable Recommendations to Institutional Investors.
- Published in:
- Brigham Young University Law Review, 2001, v. 2001, n. 4, p. 1493
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- Publication type:
- Article
THE ECONOMIC EFFECTS OF NASDAQ: SOME PRELIMINARY RESULTS.
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- Journal of Financial & Quantitative Analysis, 1974, v. 9, n. 1, p. 13, doi. 10.2307/2329965
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- Article
ECN A New Force in the Stock Markets?
- Published in:
- Financial Executive, 2002, v. 18, n. 3, p. 23
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- Article
Blue-Ribbon Panel Pushes 10 Steps to Strengthen Audit Committees: FEI Addresses Members' Concerns in Teleconference.
- Published in:
- Financial Executive, 1999, v. 15, n. 2, p. 58
- Publication type:
- Article
Explained Awards in Arbitration: THE NASD's PROPOSED EXPERIMENT.
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- Dispute Resolution Journal, 2006, v. 61, n. 1, p. 14
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- Article
ADR news.
- Published in:
- Dispute Resolution Journal, 2003, v. 58, n. 1, p. 4
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- Article
Fees and Expenses.
- Published in:
- Dispute Resolution Journal, 2001, v. 56, n. 4, p. 93
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- Article
PERSONAL FINANCIAL PLANNING.
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- CPA Journal, 2000, v. 70, n. 8, p. 64
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- Article
SEC ORDERS SECURITIES MARKETS TO BEGIN TRADING IN DECIMALS.
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- CPA Journal, 2000, v. 70, n. 4, p. 12
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- Article
The Role of CPAs as NASD Arbitrators.
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- CPA Journal, 1999, v. 69, n. 6, p. 66
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- Article
Forecasting the volatility of a combined multi‐country stock index using GWMA algorithms.
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- Expert Systems, 2018, v. 35, n. 3, p. 1, doi. 10.1111/exsy.12248
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- Article
NASD Rule 2110 and the VA Linux IPO.
- Published in:
- Journal of Business Ethics, 2005, v. 62, n. 2, p. 141, doi. 10.1007/s10551-005-0179-3
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- Article
NASD Rule 2711 and Changes in Analysts' Independence in Making Stock Recommendations.
- Published in:
- Accounting Review, 2009, v. 84, n. 4, p. 1041, doi. 10.2308/accr.2009.84.4.1041
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- Article
Do Investors Benefit from 12b-1 Fees?
- Published in:
- Mid-American Journal of Business, 2007, v. 22, n. 1, p. 21, doi. 10.1108/19355181200700002
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- Article
SECURITIES REGULATION--Lange v. H. Hentz & Co.--The Implications of a Private Remedy for Violations of the NASD Rules of Fair Practice.
- Published in:
- Journal of Corporation Law, 1978, v. 3, n. 2, p. 386
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- Publication type:
- Article
Online Investors Need More Protection.
- Published in:
- Strategic Finance, 2000, v. 82, n. 1, p. 25
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- Article
Difficult, Duplicative and Wasteful?: The NASD's Prohibition of Class Action Arbitration in the Post-Bazzle Era.
- Published in:
- Business Lawyer, 2007, v. 62, n. 3, p. 1059
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- Article
Race Discrimination Claim Ordered to Arbitration.
- Published in:
- Arbitration Journal, 1992, v. 47, n. 4, p. 4
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- Article
IMYSE Excludes Class Action Suits From Arbitration.
- Published in:
- Arbitration Journal, 1992, v. 47, n. 4, p. 4
- Publication type:
- Article
SECURITIES -- NATIONAL ASSOCIATION OF SECURITIES DEALERS CODE OF ARBITRATION UNILATERAL MISTAKE -- FRIVOLOUS APPEAL -- RULE 38 SANCTIONS.
- Published in:
- Arbitration Journal, 1988, v. 43, n. 1, p. 68
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- Article
Tenants-In-Common.
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- Journal of Property Management, 2005, v. 70, n. 6, p. 5
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- Article
Recent developments in US securities arbitration and their implications for the industry.
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- Journal of Securities Compliance, 2008, v. 1, n. 3, p. 231
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- Article
NASD/NYSE rule harmonisation: What do the changes mean in practice?
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- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 74
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- Publication type:
- Article
How broker-dealers can adapt compliance policies and procedures to accommodate changing business and regulatory requirements.
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- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 17
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- Publication type:
- Article
BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA'S PROPOSAL TO MODIFY THE "BANK BROKER-DEALER RULE.".
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- Albany Law Review, 2010, v. 73, n. 2, p. 465
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- Article
The 'Phantom Shares' Menace.
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- Regulation, 2008, v. 31, n. 1, p. 52
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- Article
The Impact of NASD Rule 2711 and NYSE Rule 472 on Analyst Behavior: The Strategic Timing of Recommendations Issued on Weekends.
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- Journal of Business Finance & Accounting, 2016, v. 43, n. 7/8, p. 950, doi. 10.1111/jbfa.12211
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- Article
Are Life Settlements a Security?
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- Journal of Structured Finance, 2007, v. 12, n. 4, p. 55, doi. 10.3905/jsf.12.4.55
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- Article
SELF-REGULATION IN THE SECURITIES INDUSTRY: THE ROLE OF THE SECURITIES AND EXCHANGE COMMISSION.
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- Law & Contemporary Problems, 1964, v. 29, n. 3, p. 663, doi. 10.2307/1190553
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- Article
SELF-GOVERNMENT IN THE SECURITIES BUSINESS.
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- Law & Contemporary Problems, 1952, v. 17, n. 3, p. 518, doi. 10.2307/1190208
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- Article
Bears and Bulls: Greater Volatility without Ticks?
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- Banking & Finance Review, 2010, v. 2, n. 2, p. 87
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- Article
Signaling in OTC Markets: Benefits and Costs of Transparency.
- Published in:
- Journal of Financial & Quantitative Analysis, 2020, v. 55, n. 1, p. 47, doi. 10.1017/S0022109018001394
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- Article
SOES Trading and Market Volatility.
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- Journal of Financial & Quantitative Analysis, 1997, v. 32, n. 2, p. 225, doi. 10.2307/2331174
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- Article
STOCK MARKETS: Namibia.
- Published in:
- Africa Research Bulletin: Economic, Financial & Technical Series, 2013, v. 50, n. 6, p. 20026A, doi. 10.1111/j.1467-6346.2013.05252.x
- Publication type:
- Article
The Responsibility of the Broker-Dealer to the Investing Public (Book).
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- American Business Law Journal, 1976, v. 13, n. 3, p. 371, doi. 10.1111/j.1744-1714.1975.tb01429.x
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- Article
Treat as a Theft Loss or a Capital Loss?
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- Strategic Finance, 2004, v. 85, n. 10, p. 13
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- Article
Rule 2821: The New. Face of VA Review.
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- Journal of Financial Planning, 2008, p. 20
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- Article
Electronic Document Storage: Separating Compliance Reality from Rumors.
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- Journal of Financial Planning, 2007, v. 20, p. 6
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- Article
Name Wars….
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- Journal of Financial Planning, 2007, v. 20, n. 9, p. 12
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- Article
"A genuine FPA success story".
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- Journal of Financial Planning, 2005, v. 18, p. 20
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- Article
When disaster strikes.
- Published in:
- Journal of Financial Planning, 2005, v. 18, p. 14
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- Article
10 years ago in the Profession.
- Published in:
- Journal of Financial Planning, 2001, v. 14, n. 7, p. 23
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- Article
Anatomy of a Churning Claim.
- Published in:
- Journal of Financial Planning, 2000, v. 13, n. 9, p. 144
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- Article
"FIN RAH!"…A WELCOME CHANGE: WHY THE MERGER WAS NECESSARY TO PRESERVE U.S. MARKET INTEGRITY.
- Published in:
- Fordham Journal of Corporate & Financial Law, 2008, v. 13, n. 5, p. 829
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- Article
Changes to Securities Arbitration Approved.
- Published in:
- Dispute Resolution Journal, 2007, v. 62, n. 1, p. 7
- Publication type:
- Article
10th Circuit Rules on Immunity for ADR Provider.
- Published in:
- Dispute Resolution Journal, 2007, v. 62, n. 1, p. 6
- Publication type:
- Article
NOWHERE TO RUN, NOWHERE TO HIDE: THE IMPACT OF SARBANES-OXLEY ON SECURITIES ARBITRATION.
- Published in:
- St. John's Law Review, 2007, v. 81, n. 1, p. 307
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- Publication type:
- Article
Is FINRA a State Actor? A Question that Exposes the Flaws of the State Action Doctrine and Suggests a Way to Redeem It.
- Published in:
- Vanderbilt Law Review, 2014, v. 67, n. 4, p. 1173
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- Article