Works matching DE "NATIONAL Association of Securities Dealers"

Results: 49

DOES THE STOCK MARKET PUMSH CORPORATE MALFEASANCE? A CASE STUDY OF CITIGROUP.

Published in:

Corporate Ownership & Control, 2006, v. 3, n. 3, p. 151

By:

Mizrach, Bruce;
Zhang Weerts, Susan

Publication type:

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

By:

Keese, Thomas J.

Publication type:

Article

THE ECONOMIC EFFECTS OF NASDAQ: SOME PRELIMINARY RESULTS.

Published in:

Journal of Financial & Quantitative Analysis, 1974, v. 9, n. 1, p. 13, doi. 10.2307/2329965

By:

Santomero, Anthony M.

Publication type:

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

By:

Chih-Ying Chen;
Chen, Peter F.

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

By:

Pierre-Louis, Lydie Nadia Cabrera

Publication type:

Article

"A genuine FPA success story".

Published in:: Journal of Financial Planning, 2005, v. 18, p. 20
Publication type:: Article

When disaster strikes.

Published in:: Journal of Financial Planning, 2005, v. 18, p. 14
Publication type:: Article

10 years ago in the Profession.

Published in:: Journal of Financial Planning, 2001, v. 14, n. 7, p. 23
Publication type:: Article

Anatomy of a Churning Claim.

Published in:

Journal of Financial Planning, 2000, v. 13, n. 9, p. 144

By:

Anderson, Seth C.;
Robertson, John F.

Publication type:

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

Explained Awards in Arbitration: THE NASD's PROPOSED EXPERIMENT.

Published in:

Dispute Resolution Journal, 2006, v. 61, n. 1, p. 14

By:

Bennett, Steven C.;
Karazsia, William G.

Publication type:

Article

ADR news.

Published in:

Dispute Resolution Journal, 2003, v. 58, n. 1, p. 4

By:

Canter, Jonathan

Publication type:

Article

Fees and Expenses.

Published in:

Dispute Resolution Journal, 2001, v. 56, n. 4, p. 93

By:

Zuckerman, Susan C.

Publication type:

Article

Forecasting the volatility of a combined multi‐country stock index using GWMA algorithms.

Published in:

Expert Systems, 2018, v. 35, n. 3, p. 1, doi. 10.1111/exsy.12248

By:

Sheu, Shey‐Huei;
Lin, Cheng‐Yi;
Lu, Shin‐Li;
Tsai, Hsin‐Nan;
Chen, Yan‐Chun

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
Publication type:: Article

The Responsibility of the Broker-Dealer to the Investing Public (Book).

Published in:

American Business Law Journal, 1976, v. 13, n. 3, p. 371, doi. 10.1111/j.1744-1714.1975.tb01429.x

By:

Basi, Bart A.

Publication type:

Article

Bears and Bulls: Greater Volatility without Ticks?

Published in:

Banking & Finance Review, 2010, v. 2, n. 2, p. 87

By:

Clayton, Ronnie J.;
Reinhart, Walter;
Schmidt, Bill

Publication type:

Article

Treat as a Theft Loss or a Capital Loss?

Published in:

Strategic Finance, 2004, v. 85, n. 10, p. 13

By:

Curatola, Anthony P.;
Cataldo, Anthony J.

Publication type:

Article

Online Investors Need More Protection.

Published in:

Strategic Finance, 2000, v. 82, n. 1, p. 25

By:

Williams, Kathy

Publication type:

Article

The 'Phantom Shares' Menace.

Published in:

Regulation, 2008, v. 31, n. 1, p. 52

By:

Welborn, John W.

Publication type:

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

By:

Dowen, Richard J.;
Mann, Thomas

Publication type:

Article

SELF-GOVERNMENT IN THE SECURITIES BUSINESS.

Published in:

Law & Contemporary Problems, 1952, v. 17, n. 3, p. 518, doi. 10.2307/1190208

By:

WESTWOOD, HOWARD C.;
HOWARD, EDWARD G.

Publication type:

Article

BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA'S PROPOSAL TO MODIFY THE "BANK BROKER-DEALER RULE.".

Published in:

Albany Law Review, 2010, v. 73, n. 2, p. 465

By:

Gross, Jill I.;
Pekarek, Edward

Publication type:

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

By:

Cervantes, Yesenia

Publication type:

Article

PERSONAL FINANCIAL PLANNING.

Published in:

CPA Journal, 2000, v. 70, n. 8, p. 64

By:

Slavutin, Lee;
Miller, Milton;
Bregman, William

Publication type:

Article

SEC ORDERS SECURITIES MARKETS TO BEGIN TRADING IN DECIMALS.

Published in:: CPA Journal, 2000, v. 70, n. 4, p. 12
Publication type:: Article

The Role of CPAs as NASD Arbitrators.

Published in:

CPA Journal, 1999, v. 69, n. 6, p. 66

By:

Masucci, Deborah

Publication type:

Article

Tenants-In-Common.

Published in:: Journal of Property Management, 2005, v. 70, n. 6, p. 5
Publication type:: 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

By:

Back, Kerry;
Liu, Ruomeng;
Teguia, Alberto

Publication type:

Article

SOES Trading and Market Volatility.

Published in:

Journal of Financial & Quantitative Analysis, 1997, v. 32, n. 2, p. 225, doi. 10.2307/2331174

By:

Battalio, Robert H.;
Hatch, Brian;
Jennings, Robert

Publication type:

Article

Are Life Settlements a Security?

Published in:

Journal of Structured Finance, 2007, v. 12, n. 4, p. 55, doi. 10.3905/jsf.12.4.55

By:

Casey, Brian T.;
Sherman, Thomas D.

Publication type:

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

By:

Eisler, Matthew

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

By:

Deshmukh, Michael

Publication type:

Article

Recent developments in US securities arbitration and their implications for the industry.

Published in:

Journal of Securities Compliance, 2008, v. 1, n. 3, p. 231

By:

Colesanti, J. Scott

Publication type:

Article

NASD/NYSE rule harmonisation: What do the changes mean in practice?

Published in:

Journal of Securities Compliance, 2007, v. 1, n. 1, p. 74

By:

Jannace, William;
Kasprzak, Stephen;
Taylor, Gregory;
Figman, Cory;
Lazar, Erika;
Troha, Michael

Publication type:

Article

How broker-dealers can adapt compliance policies and procedures to accommodate changing business and regulatory requirements.

Published in:

Journal of Securities Compliance, 2007, v. 1, n. 1, p. 17

By:

Von Maur, Peter

Publication type:

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

By:

Poser, Norman S.

Publication type:

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

By:

Loughran, Tim

Publication type:

Article

ECN A New Force in the Stock Markets?

Published in:

Financial Executive, 2002, v. 18, n. 3, p. 23

By:

Millman, Gregory J.

Publication type:

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

The Impact of NASD Rule 2711 and NYSE Rule 472 on Analyst Behavior: The Strategic Timing of Recommendations Issued on Weekends.

Published in:

Journal of Business Finance & Accounting, 2016, v. 43, n. 7/8, p. 950, doi. 10.1111/jbfa.12211

By:

Dong, Yi;
Hu, Nan

Publication type:

Article

Rule 2821: The New. Face of VA Review.

Published in:

Journal of Financial Planning, 2008, p. 20

By:

Young, Ethan

Publication type:

Article

Electronic Document Storage: Separating Compliance Reality from Rumors.

Published in:

Journal of Financial Planning, 2007, v. 20, p. 6

By:

Day, Jo

Publication type:

Article

Name Wars….

Published in:: Journal of Financial Planning, 2007, v. 20, n. 9, p. 12
Publication type:: Article

SELF-REGULATION IN THE SECURITIES INDUSTRY: THE ROLE OF THE SECURITIES AND EXCHANGE COMMISSION.

Published in:

Law & Contemporary Problems, 1964, v. 29, n. 3, p. 663, doi. 10.2307/1190553

By:

JENNINGS, RICHARD W.

Publication type:

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

Race Discrimination Claim Ordered to Arbitration.

Published in:: Arbitration Journal, 1992, v. 47, n. 4, p. 4
Publication type:: Article

IMYSE Excludes Class Action Suits From Arbitration.

Published in:: Arbitration Journal, 1992, v. 47, n. 4, p. 4
Publication type:: Article