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12/19/07
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AFSCME Training and Education Institute Creates Investor Education Program for Working Families
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12/14/07
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FINRA Board Approves Rule that Codifies Expungement Procedures for Arbitrators
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12/13/07
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FINRA Fines J. P. Morgan Securities $500,000 for Failing to Disclose Use of Payments to Consultants to Obtain Numerous Municipal Securities Offerings
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11/29/07
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FINRA Orders Rafferty Capital Markets to Pay Over $400,000 for Supervisory Failures Involving Late Trading, Deceptive Market Timing By Firm's Hedge Fund Customers
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11/28/07
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FINRA Fines Wachovia Capital Markets $300,000 for Deficient Disclosures in Research Reports
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11/20/07
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FINRA Investor Education Foundation Announces 2008 Grant Program
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11/14/07
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FINRA Investor Education Foundation to Offer Online Credit Management Resource Free to Active Duty Military, Spouses
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11/12/07
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FINRA Expands Investor Education Outreach with Integrated, Multimedia Advertising Campaign Aimed at Baby Boomers
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11/7/07
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New Study Shows Overwhelmingly Positive Employee Endorsement of Automatic Enrollment in 401(k) Plans Most Feel it Makes Saving for Retirement Easier
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11/6/07
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FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions
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11/5/07
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FINRA Expels Franklin Ross, Inc. for Systemic Violations of Anti-Money Laundering Rules
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10/30/07
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FINRA Fines Oppenheimer $1 Million to Settle Charges that It Produced Flawed, Incomplete and Untimely Data in Breakpoint Self-Assessment
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10/29/07
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Securities Firms Elect Seven Industry Governors to FINRA Board of Governors
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10/25/07
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FINRA Fines UBS Financial Services $370,000 for Late Reporting, Failing to Report Broker Information
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10/23/07
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FINRA Investor Education Foundation Funds Research to Improve Disclosure of Financial Product Information
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10/23/07
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FINRA Investor Education Foundation Funds Research Examining How Disclosures Can Help Investors Understand Risk and Minimize Fees
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10/23/07
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FINRA Investor Education Foundation Funds Education Program for Older Investors with Securities Disputes
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10/23/07
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FINRA Investor Education Foundation and AFCPE Kick-Off Financial Education Program For Professional Marriage and Divorce Counselors
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10/23/07
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FINRA Investor Education Foundation Funds Research on Financial Risk of Longevity in Retirement
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10/23/07
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FINRA Identifies Energy Stocks as Latest "Pump and Dump" Scheme
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10/11/07
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Clicking on Compliance: FINRA Launches Firm Gateway
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10/11/07
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FINRA Announces New Webcast to Guide Brokers when Working with Senior Customers
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10/11/07
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FINRA Announces Small Firm Emergency Partner Program
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9/27/07
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Morgan Stanley to Pay $12.5 Million to Resolve FINRA Charges that it Failed to Provide Documents to Arbitration Claimants, Regulators
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9/26/07
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FINRA Board Approves Rule to Limit Motions to Dismiss in Arbitrations
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9/17/07
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FINRA Mediation Prices Reduced During "Settlement Month" in October
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9/10/07
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FINRA Announces Major Regulatory Sweeps at Senior Summit
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9/5/07
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FINRA Launches 'Market Data' Online Today, Providing Free, Comprehensive Data to Retail Investors
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9/5/07
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FINRA Fines AXA Advisors $1.2 Million for Fee-Based Account Violations, Orders Return of $1.4 Million in Fees to Approximately 1,800 Customers
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8/30/07
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New National Survey Shows Widespread Anxiety Among American Investors
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8/22/07
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Julie Bauer Named to FINRA Government Relations Post
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8/2/07
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FINRA Fines Morgan Stanley $1.5 Million, Orders $4.6 million In Restitution To Customers Overcharged in Corporate Bond Sales
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8/2/07
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FINRA Announces Interim Board of Governors to Serve Until Annual Meeting for Board Elections
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7/30/07
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NASD and NYSE Member Regulation Combine to Form the Financial Industry Regulatory Authority - FINRA
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7/11/07
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In First Case of Its Kind, NASD Charges Former Securities America Broker with Misleading Union Retirement Plans About Receipt of More Than $280,000 in Improper Directed Brokerage Commissions, Other Payments
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6/28/07
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NASD Settles Cases Against MML Investors Services, NYLIFE Securities, Securities America and Northwestern Mutual Investment Services for Fines Totaling over $1.2 Million for Failures Relating to Mutual Fund Sales
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6/28/07
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Accredited Financial Counselor Program Fellowships Awarded
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6/27/07
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NASD Fines Wells Fargo Securities $250,000 for Failing to Disclose Analyst's Employment with Covered Company in Research Report
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6/21/07
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NASD Fines Wachovia Securities $2 Million for Fee-Based Account Violations
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6/6/07
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Citigroup Global Markets to Pay Over $15 Million to Settle Charges Relating to Misleading Documents and Inadequate Disclosure in Retirement Seminars, Meetings for BellSouth Employees
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5/29/07
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NASD Fines HSBC Brokerage for Failure to Supervise Government Securities Transactions for Best Execution
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5/15/07
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WISER, Center for American Nurses Target Nurses' Financial Security with Help from NASD Investor Education Foundation Grant
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5/8/07
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NASD Fines Two Fidelity Broker Dealers $400,000 for Distributing Misleading Sales Literature About Systematic Investment Plans Sold to Military Personnel
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5/8/07
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NASD, State Regulators Issue Joint Statement to Support Insurance Regulators' Model Annuity Suitability Regulation
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5/3/07
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LaRae Bakerink Appointed Small Firms Representative on NASD Board of Governors
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4/30/07
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NASD and Chicago Stock Exchange Fine and Suspend Traders for Cross-Market Manipulation
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4/26/07
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William C. Alsover, Jr. Resigns from NASD Board of Governors, will Continue to Serve Small Firms in Consulting Capacity
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4/23/07
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Touting "China" Stocks Latest "Pump and Dump" Scheme, NASD Alert Says
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4/16/07
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NASD Alert Advises Investors to Consider Global Market Risk When Investing
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4/11/07
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NASD Hearing Panel Sanctions Former Knight Securities Executives for Supervisory Failures in Connection with Fraudulent Sales
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4/10/07
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NASD Warns Investors of the Risks Associated with Using Margin to Purchase Securities
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4/5/07
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American Library Association, NASD Investor Education Foundation Team Up to Promote Investor Education in U.S. Libraries
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3/19/07
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New, Improved NASD BrokerCheck Goes Live Online Today
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3/16/07
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Schapiro Announces Leadership and Structural Moves for New, Consolidated SRO
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3/12/07
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NASD Foundation Continues to Fund Investor Education for Native American Communities Through First Nations Development Institute Grant
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3/2/07
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NASD Foundation Announces Targeted Investor Protection Grant Program
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2/22/07
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NASD Investor Education Foundation Expands its Military Financial Education Campaign in 2007
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2/22/07
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NASD Investor Ed Foundation Announces 2007 General Grant Program Focusing on Investment Behavior and Retirement Income Security
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2/21/07
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NASD Fines Raymond James Financial Services, Inc. $2.75 Million for Lax Supervision of Producing Branch Managers
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2/15/07
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NASD Charges Two Former Prudential Brokers with Facilitating Hedge Fund Manager's Deceptive Market Timing in Variable Annuities
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2/12/07
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NASD Fines Scudder Distributors, Putnam Retail Management, AllianceBernstein for Improper Training and Education Expenditures
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2/8/07
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NASD Investor Alert Cautions Investors About Life Settlements
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2/5/07
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NASD Fines Four Fidelity-Affiliated Broker-Dealers $3.75 Million for Registration, Supervision and Email Retention Violations
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1/31/07
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Statement of NASD Chairman and CEO Mary Schapiro Regarding the Passing of Gordon S. Macklin, Former NASD President and NASDAQ Founder
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1/29/07
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NASD Fines Banc of America Investment Services, Inc. $3 Million for Failing to Comply With Anti-Money Laundering Rules in Connection With High Risk Accounts
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1/24/07
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SEC Approves New NASD Code of Arbitration Procedure
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1/21/07
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NASD Member Firms Embrace Streamlined, More Efficient Regulation
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1/8/07
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NASD Unveils Free Arbitration Awards Online Database; Award Searches Now Faster and Easier
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1/8/07
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NASD Names New Government Affairs Team
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