Organization of brokers and dealers that regulates over-the-counter security markets to prevent fraud and to protect investors.

An association of BROKERS and DEALERS empowered to regulate the OVER-THE-COUNTER (OTC) securities business.

A nonprofit self-regulatory organization for the over-the-counter market under the supervision of the Securities as and Exchange Commission.

An industry organization in the U.S. charged by Congress with standardizing investment practices as well as establishing and enforcing high ethical standards in the financial community.

An organization established to provide protection for investors against fraudulent acts by executing rules of fair practice. The NASD is usually made up of brokers and dealers.

The self-regulatory organization with authority over firms that distribute mutual funds and other securities.

An association whose members consist of brokers and dealers handling over-the-counter securities and mutual funds. The association resulted from special legislation passed by Congress in 1938 (the Maloney Act) for the purpose of regulating the over-the-counter market.

(NASD) An association that includes nearly all of the major investment banks and firms dealing in the over-the-counter market. Operating under the supervision of the SEC, this organization's goals are to standardize practices, set ethical standards for securities trading, and ensure that members maintain a high degree of solvency and financial integrity.

Nonprofit organization formed under the joint sponsorship of the investment bankers' conference and the SEC to comply with the Maloney Act, which provides for the regulation of the OTC market.

This is an organization of over-the-counter securities dealers and brokers which enforce, on a self-regulated basis, the rules of the Securities and Exchange Commission (SEC). These efforts are to protect investors from fraud and market manipulation of stocks.

Independent association charged with regulating over-the-counter securities and dealers.

A non-profit organization established to regulate the behavior of member securities dealers. The NASD operates under the sponsorship of the Securities and Exchange Commission (SEC).

A self-regulatory body of the securities industry. It is the only association of its kind ever established under the Maloney Act.

A non-profit organization established by the Securities and Exchange Commission and the Investment Banker's Conference. Nearly every broker dealer firm and investment bank dealing in the over-the-counter (OTC) market is registered with the NASD.

Non-profit organization of people who directly participate in the buying and selling of stock in the over the counter market, where, instead of meeting on an exchange floor, geographically dispersed dealers are linked together by telephones and computer screens. Nasdaq is the best-known over-the-counter market.

A private organization registered with the securities exchange commission to provide self-regulation of the over-the-counter (otc) securities market. Nasd issues rules governing the practices of broker-dealer firms in the otc market.... read full article

A self-regulatory organization (SRO) of brokers and dealers in the over-the-counter securities business. Its regulatory mandate includes authority over firms that distribute mutual fund shares as well as other securities.

A self-regulatory organization (SRO) operating under the supervision of the Securities Exchange Commission (SEC). Its purpose is to standardize practices, establish high ethical standards and enforce fair and equitable rules.

An organization which self regulates securities brokers and dealers.

A self-regulatory organization that regulates securities firms and broker-dealers.

The largest securities-industry self-regulatory organization in the United States. Through its subsidiaries -- the NASD Regulation, Inc. and The Nasdaq Stock Market, Inc. -- the National Association of Securities Dealers develops rules and regulations and conducts regulatory reviews of members' business activities.

In the United States, a nonprofit organization of securities brokers and dealers that promotes fair and ethical practices in the securities business.

The self-regulatory organization for the over-the-counter stock market.

A self-regulatory securities industry organization of broker/dealers in the over-the-counter securities industry. Responsible for the operation and regulation of the NASDAQ stock market and over-the-counter markets.

A self -regulatory securities industry organization responsible for the operation and regulation of the stock market and for conducting regulatory reviews of members business activities.

Supervised by the Securities Exchange Commission, the NASD standardizes investment practices, sets ethical standards, develops rules and regulations and enforces the rules with an industry disciplinary body.

An association of brokers and dealers in the over-the-counter securities business. Under the supervision of the SEC, the NASD's basic purposes are to standardize field practices, establish ethical standards in securities trading, provide a representative body for consultation, establish and enforce rules of fair trading, and provide the disciplinary body to enforce these rules. All variable product information, which includes advertisement, marketing and sales material, must be reviewed by the NASD before it is shown to the public.

An organization of brokers and dealers designed to protect the investing public against fraudulent acts.

A self-regulatory organization with jurisdiction over certain broker-dealers. The NASD requires member brokers to register and conducts examinations for compliance with net capital requirements and other regulations. It also conducts market surveillance of the over-the-counter (OTC) securities market. National Association of Securities Dealers Automated Quotations (NASDAQ) is a subsidiary of the NASD which facilitates the trading of approximately 5,000 most active OTC issues through an electronically connected network.

A self-regulating securities industry organization responsible for the operation and regulation of the Nasdaq stock market and other over-the-counter markets. NASD members include almost all investment banking houses and firms dealing in the over-the-counter market. The organization sets guidelines for ethics and standardized industry practices, and has a disciplinary structure for looking into allegations of rules violations.

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. See: Broker-Dealer; Investment Banker; Rules Of Fair Practice; Securities Exchange Act Of 1934; SEC

A voluntary association of brokers and securities dealers handling over-the-counter securities. It serves a quasi-official function in the regulation of licensing and also acts as a bureau which formulates rates, rating plans and policy wording for about half of the states. Many other states subscribe to the various services it provides. It is supported by the insurance companies which belong to it.

A voluntary association of securities firms empowered by the Maloney Act of 1938 to regulate the affairs of securities firms and to promote fair and ethical practices in the securities business.

The NASD represents all the firms dealing in the over-the-counter market.