The National Association of Securities Dealers, Inc. (NASD®) is the largest securities industry self-regulatory organization in the United States. It operates and regulates The Nasdaq Stock Market SM —the world’s largest screen-based stock market and the sec-

FINRA is a self-regulatory organization for member broker-dealers that is responsible under federal law for supervising our member firms. Since the 1930s, under the oversight of the Securities and Exchange Commission (SEC), we have pursued our mission:

2024年8月19日 · Founded in 1939 and a major contributor to the creation of the NASDAQ in 1971, NASD monitored stock market activities until its merger with the New York Stock Exchange’s regulatory and arbitration arm in 2007, forming the Financial Industry Regulatory Authority (FINRA). This article explores the history and significance of NASD, its evolution ...

2023年9月16日 · 全国证券交易商协会（NASD）是证券行业的自律组织，是 金融业监管局（FINRA）的前身。 它负责 纳斯达克股票市场 和 场外交易市场的运营和监管。 它还管理投资专业人士的考试，例如 系列 7 考试。 NASD 负责监督纳斯达克的市场运作。 NASD 于 1939 年根据 1938 年马洛尼法案 对 1934 年 证券交易法修正案的规定成立。 它也是纳斯达克股票市场的主要创始人，纳斯达克股票市场成立于 1971 年。 在证券交易委员会 (SEC) 的全面监督下，纳斯达 …

2025年1月28日 · In January 2003, NASD’s Advertising Regulation Department contacted 64 NASD member firms to determine their level of compliance with the NASD and SEC rules that govern advertisements and sales literature for hedge funds and funds of hedge funds.

全国证券交易商协会（nasd）已于2007年7月30日与纽约证券交易所中有关会员监管、执行和仲裁的部门合并成为美国金融业监管局（finra） 网页 新闻 贴吧 知道 网盘 图片 视频 地图 文库 资讯 采购 百科

2024年3月11日 · Download free FINRA Logo brand, emblem and icons. American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets.

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 7002B To Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility

2024年1月10日 · Recently, in an injunction order in Alpine Securities Corp. v. Financial Industry Regulatory Authority, 2 the D.C. Circuit found that Alpine had a substantial likelihood of succeeding on the merits of its constitutional challenge to FINRA’s structure.

2024年5月15日 · 纳斯达克证券市场由全美证券交易商协会（NASD）创立并负责管理，其是1971年建立的全球第一个电子交易股票市场，也是目前全球第二大股票市场。 纳斯达克拥有超过500家做市商，采用公开竞争的方式提供最优买卖价格。 纳斯达克股票市场运营着三个层次的市场：全球精选市场（NASDAQ Global Selected Market，主要面向大盘股）、全球市场（NASDAQ Global Market，主要面向中盘股）和资本市场（NASDAQ Capital Market，适合 中小盘 股）。