finra

FINRA

For Release:
Contact:
Friday, September 14, 2001
Nancy A. Condon
202-728-8440


 

The NASD Provides Investors With Contact Information

Washington, DC — The National Association of Securities Dealers® (NASD) today issued information to help investors in light of the tragic events of last Tuesday.

 

NASD is establishing contact with the firms that were located in the World Trade Center.  A list of these firms is posted on www.nasd.com .  For the firms located there, we are providing alternate contact numbers.  The list will be continuously updated as information becomes available.

 

“We realize that, as a result of the tragic events of this week, some investors may have problems reaching their broker or firm.  To assist investors the NASD has identified the firms located in the World Trade Center and is providing investors with contact information,” said Robert R. Glauber, President and CEO of the NASD.

 

Investors unable to reach their firm should continue to check the firm’s Web site.  Many firms are updating them regularly to provide investors with current information.  Investors who have traded electronically and have trouble accessing their account should call their firm to conduct securities business once the market reopens.

 

Glauber said the full resources that the NASD uses to monitor the markets and ensure market integrity are intact and ready to go.  He went on to say, “Our market surveillance systems and technology were not affected by the attack on the World Trade Center.  As the markets reopen, the NASD will be ready to continue fulfilling its mission to promote the fair and efficient functioning of the securities markets.”

 

The NASD is the largest securities industry, self-regulatory organization in the United States.  It is the parent organization of NASD Regulation, Inc.; the American Stock Exchange, LLC; and NASD Dispute Resolution, Inc.  For more information about the NASD and its subsidiaries, please visit the following Web sites: www.nasd.com; www.nasdr.com; www.amex.com.