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National Association Of Securities Dealers (NASD) |
877-838-8464 |
Definition: NASD regulates trading in equities, corporate bonds, securities futures, and options, with authority over the activities of brokerage firms, branch offices, and registered securities representatives. | |
Featured
National Association Of Securities Dealers (NASD)
Case Studies
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Featured
National Association Of Securities Dealers (NASD) Experts |
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An applied investments expert was needed for a breach of trust action alleging mismanagement of trust fund investments comprised of fixed income investments. Broker-Dealer Regulations Expert A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case. Brokerage Compliance Expert in Distressed Debt A brokerage compliance expert with distressed debt experience was needed for an insider trading case. Brokerage Management Expert in Securities Trading A brokerage management expert with large brokerage firm and risk management experience was needed for a professional malpractice dispute. Hedge Fund Expert in Net Asset Value A hedge fund expert with net asset value, or NAV, expertise was needed for a securities fraud case. Investments Expert in OTC Stock Trading An investments expert in OTC stock trading was required for an arbitration matter before the NASD. Municipal Bond Trading Expert in Account Churning A municipal bond trading expert with account churning knowledge was needed for securities arbitration. Municipal Securities Expert in Broker/Dealer Fraud A municipal securities expert in unit investment trusts was needed for an NASD arbitration. Private Placements Expert in Series A Funds A private placements expert in Series A Funds was needed for an action alleging negligence and fraud. SEC Compliance Expert with NASD Rule 11140 Experience An SEC compliance expert with experience interpreting was needed for litigation regarding securities fraud and violation of SEC Rules. |
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