nasd member造句

• An SEC settlement also wouldn't spell the end of NASD member firms'legal exposure.
• They put together deals and then have NASD members act as the underwriter.
• Troster Singer has been an NASD member since 1948.
• NASD Members Ratify Changes to Bylaws, Newspaper Reports
• If approved, NASD members would begin reporting all over-the-counter transactions involving eligible corporate bonds next spring.
• First Albany is just a sacrificial lamb offered by the NASD to protect powerful NASD member firms,
• "Since Morningstar's research is used by NASD members, its research must comply with our rules and guidelines,"
• Bright said the firm was not an NASD member because it did not deal with retail investors.
• But he also was praised by some of the area NASD members whom he has regulated for decades.
• Weisenborn also serves as chairman of the NASD member committee that hears charges against NASD members in the district.
• Four months earlier, he was fined $ 10, 000 and suspended for two years from associating with NASD members.
• Weisenborn also serves as chairman of the NASD member committee that hears charges against NASD members in the district.
• In particular, Weisenborn said, Rosenfield began visits with chief executive officers and compliance officers at NASD member firms in the district.
• Schapiro confirmed that she has had discussions with NASD members, but said the discussions haven't led to a formal job offer.
• "It creates an appearance of impropriety, " said Alan Davidson of the Independent Broker-Dealer Association, which consists of 106 NASD member firms.
• The plan will now be submitted to NASD members and the Securities and Exchange Commission, which is expected to give it final approval.
• H & R is a Canadian investment company whose share price is quoted on the OTC-BB, an electronic bulletin board used by NASD members.
• H & AMP; R is a Canadian investment company whose share price is quoted on the OTC-BB, an electronic bulletin board used by NASD members.
• On a separate front, the Justice Department has proposed talks with NASD member brokerage firms about a settlement that would require them to avoid collusion.