Anagrammer & Oplysninger om | engelsk ord NASD

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Eksempler på brug af NASD i en sætning

• In 2007, the NASD merged with the NYSE (which had already taken over the AMEX), and the Financial Industry Regulatory Authority (FINRA) was created.
• Seth is eventually arrested by the FBI for the violation of 26 SEC and NASD regulations, and is brought into their custody along with his father, as the bureau had discovered their IPO scheme from a tape-recorded phone conversation.
• 1999: NYSE, NASD, AMEX, SEC and AICPA finalize major rule changes based on Blue Ribbon Committee on Improving the Effectiveness of the Corporate Audit Committee.
• NASD rule 12204 of 1992 (now FINRA Rule 2268), which allows investor class actions to proceed in federal court nullifies arbitration agreements when class certification is sought, is not preempted.
• On July 26, 2007, the SEC approved a merger of the enforcement arms of the NYSE and the NASD, to form a new SRO, the Financial Industry Regulatory Authority (FINRA).
• The college is an accredited institution of the National Association of Schools of Dance (NASD), the National Association of Schools of Music (NASM), the National Association of Schools of Theatre (NAST), and a member of the University/ Resident Theatre Association (U/RTA).
• In July 2006, the National Adjudicatory Council of the NASD upheld a hearing panel's ruling that barred Asensio "from association with any NASD member in any capacity" and fined him $20,000.
• The NASD, later FINRA, publishes much educational information for the public and has been publishing and disclosing the education and exam requirements for USA based credentials, charters, designations and certifications that are offered by SROs for about a decade.
• After a four-year hiatus, in 2013 NIOSH resumed support for NASD with funding through the Central States Center for Agricultural Safety and Health (CSCASH), the Southeast Center for Agricultural Health and Injury Prevention (SCAHIP), and the High Plains Intermountain Center for Agricultural Health and Safety (HICAHS).
• She held the comparable position at the National Association of Securities Dealers (NASD) before its 2007 consolidation with NYSE Member Regulation and redesignation as FINRA.
• In its November 7, 2008 opinion, the SEC reversed FINRA predecessor NASD, explaining that the self-regulatory organization (SRO) had presented a “new theory of liability” that amounted to a novel interpretation of Rule 3040, which requires registered representatives to obtain approval before engaging in business activity away from their firm.
• The right against self-incrimination does not prevent a self-regulatory organization (SRO), such as the National Association of Securities Dealers (NASD), from imposing otherwise valid sanctions when the privilege is validly asserted, since these organizations are generally not considered as state actors.
• In the wake of the scandals, regulators such as the SEC and the Financial Industry Regulatory Authority (FINRA), formerly (NASD), as well as the newly introduced Sarbanes-Oxley legislation, began requiring financial firms to have a system for electronic message recordkeeping and supervision – just the same as with paper records.

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