...Surveillance Committee, and seeks to the extent possible uniformity in disciplinary actions. Final disciplinary actions can be appealed to the SEC and then to the United States Court of Appeals. NASD Oversight of Bank Securities Activities The Subcommittee seeks information on...

...activities of the District Business Conduct Committees and the Market Surveillance Committee, and seeks, to the extent possible, uniformity in disciplinary...actions. Final NASD disciplinary actions can be appealed the SEC and then to the United States Courts of Appeals. able, d to * • NASDAQ is a highly visible...

...activities of the District Business Conduct Committees and the Market Surveillance Committee, and seeks, to the extent possible, uniformity in disciplinary...SEC and then to the United States Courts of Appeals. NASDAQ is a highly visible electronic market with intense competition between market makers. Their...

...activities of the District Business Conduct Committees and the Market Surveillance Committee, and seeks, to the extent possible, uniformity in disciplinary...SEC and then to the United States Courts of Appeals. NASDAQ is a highly visible electronic market with intense competition between market makers. Their...

...Surveillance Committee, and seeks, to the extent possible, uniformity in disciplinary actions. Final disciplinary actions can be appealed to the SEC and then to the United States Courts of Appeals. In its request for testimony, the Committee asked the NASD to provide an overview of areas in need...

...Surveillance Committee, and seeks, to the extent possible, uniformity in disciplinary actions. Final disciplinary actions can be appealed to the SEC and then to the US Courts of Appeals. The NASD welcomes the opportunity to appear at these hearings on short sales....

...municipal and government securities markets. The NASD has 5,500 broker-dealer members employing 413,000 registered sales persons and principals. The scope...States Courts of Appeals. The NASD is governed by a thirty member Board of Governors drawn from its membership, leaders of industry and academia, executives...

...municipal and government securities markets. The NASD has 5,500 broker-dealer members employing 414,000 registered sales persons and principals. The scope...States Courts of Appeals. The NASD is governed by a thirty member Board of Governors drawn from its membership, leaders of industry and academia, executives...

...registered sales persons and principals. The scope of the NASD's regulatory jurisdiction extends lo all such members and their associated persons. The...States Courts of Appeals. The NASD is governed by a thirty member Board of Governors drawn from its membership, leaders of industry and academia, executives...

...is minimized, freeing governmental resources for securities regulation to be focused on other areas. The NASD carries out its examination, disciplinary,...twenty-nine member Board of Governors drawn from its membership.leaders of industry and academia, executives of Nasdaq companies, and the public. The Board,...