Davis, Henry A. - In: Journal of Investment Compliance 8 (2007) 3, pp. 79-94
Purpose – The aim of this paper is to provide excerpts of selected NASD actions in April, May, and June 2007. Design/methodology/approach – The paper provides excerpts from NASD Notice to Members 07‐16, Frequently Asked NASD Financial and Operational Questions; 07‐17, NASD and NYSE Joint...