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Search Criteria: FAST heading = National Association of Securities Dealers
Displaying 1 to 25 of 139
Title & Author Format Holdings Editions From To
The over-the-counter securities markets by Loll, Leo M.
DDC/LCC
  1034 34 1961 1981
Consolidation of NASD and the regulatory functions of the NYSE : working towards improved regulation : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session, on the overall impact and outcome of the consolidation on the regulatory scheme including but not limited to the areas of rules, governance, enforcement and compliance, advertising, arbitration, funding, and the potential impact on investors, Thursday, May 17, 2007 by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
LCC
  697 4 2009 2009
A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006 by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
LCC
  444 3 2007 2007
Follow-up report on matters relating to securities arbitration by United States. General Accounting Office
LCC
  336 2 2003 2003
Report pursuant to Section 21(a) of the Securities Exchange Act of 1934 regarding the NASD and the Nasdaq market by United States. Securities and Exchange Commission
DDC/LCC
  286 6 1996 1996
NASD arbitration solution : five black-belt principles to protect and grow your financial services practice by Hine, Thomas J., 1961-
DDC/LCC
  240 5 2007 2007
NASD manual by National Association of Securities Dealers
DDC/LCC
  215 12 1967 2009
Fraud and abuse in the "Hot issues" and "Penny stock" markets : hearing before the Subcommittee on Securities of the Committeee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-eighth Congress, first session, on the efforts of the Securities and Exchange Commission and the National Association of Securities Dealers to protect the investing public from fraud and abuse in the so-called "Penny stocks" and "Hot issues" markets, December 15, 1983--New York, New York by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
DDC/LCC
  207 3 1984 1984
NASDAQ : a guide to information sources by Heckman, Lucy, 1954-
DDC/LCC
  201 5 2001 2014
Penny stocks : regulatory actions to reduce potential for fraud and abuse : report to congressional committees by United States. General Accounting Office
LCC
  199 3 1993 1993
Employment discrimination : how registered representatives fare in discrimination disputes : report to the Chairman, Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives by United States. General Accounting Office
LCC
  183 2 1994 1994
NASD telephone hotline : enhancements could help investors be better informed about brokers' disciplinary records : report to congressional requester by United States. General Accounting Office
LCC
  170 2 1996 1996
FINRA manual : official publication of the Financial Industry Regulatory Authority by Financial Industry Regulatory Authority
DDC/LCC
  153 11 2008 2016
Nasdaq's pursuit of exchange status and an initial public offering by Shorter, Gary W.
LCC
  133 7 2005 2006
Securities and Exchange Commission should strengthen its inspection oversight of the National Association of Securities Dealers by United States. General Accounting Office
LCC
  129 2 1978 1978
History of National Association of Securities Dealers, inc., : its activities, membership data, sanctions imposed, members expelled, financial statements, liaison and supervision by SEC from 1936 to November 30, 1958 by National Association of Securities Dealers
DDC/LCC
  115 2 1959 1959
Financial Industry Regulatory Authority (FINRA/NASD) notices to members by Financial Industry Regulatory Authority
DDC
  93 6 ???? ????
NASD manual : official publication of the National Association of Securities Dealers, Inc by National Association of Securities Dealers
DDC/LCC
  76 15 1961 2007
Pass the 63 : a training guide for the NASAA series 63 exam by Walker, Robert (Robert Mark)
DDC/LCC
  72 4 2006 2013
Annual report by National Association of Securities Dealers
DDC/LCC
  56 3 1978 2001
National Association of Securities Dealers, Inc by National Association of Securities Dealers
LCC
  45 1 ???? ????
Reprint of the manual by National Association of Securities Dealers
DDC/LCC
  45 1 ???? ????
Securities arbitration reform : report of the Arbitration Policy Task Force by National Association of Securities Dealers. Arbitration Policy Task Force
LCC
  43 3 1996 1996
Report to members by National Association of Securities Dealers
LCC
  42 4 1954 1954
NASD exam, series 6 : preparation guide
DDC/LCC
  34 2 2004 2004
Displaying 1 to 25 of 139
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