A nonprofit organization that regulates many components of the securities industry.
a self-regulatory organization for member securities brokerage firms with authority over the distribution of mutual fund shares.
A self-regulatory organization with authority over firms that distribute mutual fund shares as well as other securities.
A self-regulatory organization responsible for the NASDAQ stock market and over-the-counter markets.
The self-regulatory organization of the securities industry responsible for the regulation of the over-the-counter markets.
The self-regulatory organization for the over-the-counter market. The NASD was organized under the provisions of the 1938 Maloney Act.
"A nonprofit membership organization registered with the Securities and Exchange Commission (SEC) under the provisions of the Securities Exchange Act of 1934. Membership is limited and consists mostly of broker-dealers and investment banking houses. Basic goals of the NASD are to: Promote just and equitable principles of trade for the protection of investors. Adopt, oversee, and enforce rules of fair practice. Consult with government and investors on matters of common concern. Conduct periodic examinations and audits to ensure solvency and financial integrity among members.