4 results about this entity
Period: 12 Jul 2006 - 15 Jun 2007
News
US financial regulators NASD and Nyse Regulation have released a set of proposed guidelines for the management and supervision of electronic communications, both inside an organisation and externally.
15 June 2007
Morgan Stanley has been charged by securities regulators with falsely claiming that millions of e-mails it possessed had been lost in the 9/11 terrorist attacks on the World Trade Center in New York.
20 December 2006
The National Association of Securities Dealers (NASD) has ordered Brut, the electronic trading system owned by Nasdaq, to pay $2.2 million for publishing inaccurate trade reports and other violations.
04 August 2006
The US National Association of Securities Dealers (NASD) is warning of a new online scam that attempts to trick investors into sending money to schemes that appear to be government-sanctioned but which actually are fraudulent.
12 July 2006
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