NASD
AmericanExample Sentences
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At the time he worked there, SEC Chairman Mary Schapiro and Democratic Commissioner Elisse Walter were both high-ranking officials at NASD.
From Reuters • Jul. 22, 2012
The SEC said that problems with document integrity date back to 2004 at FINRA's predecessor NASD.
From Reuters • Oct. 27, 2011
During those time periods, Schapiro served in various leadership roles at NASD.
From Reuters • Oct. 27, 2011
The bank was represented by Barry Goldsmith, an attorney at law firm Gibson Dunn & Crutcher LLP in New York who used to be executive vice president for enforcement at Finra’s predecessor, NASD.
From BusinessWeek • Jun. 28, 2011
The NASD, a securities-industry regulator, had settled a separate case with Morgan Stanley, which it charged with offering brokers improper incentives to push in-house funds that might not be best for its clients.
From Time Magazine Archive
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