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In July of 2007 the National Association of Securities Dealers (the "NASD") and the
member regulation, enforcement and arbitration functions of the New York Stock Exchange merged into a new entity established to take over the "self-regulatory" duties formerly performed by these entities. The new entity has been named the "Financial Industry Regulatory Authority" ("FINRA"). While in the past, investors who had disputes with brokerage houses were required to file claims with the NASD or the New York Stock Exchange due to contractual provisions in new accounts documents, in the future these claims will be filed with FINRA. It can be presumed that the rules and regulations in effect the NASD will be carried forward at FINRA as regards investor fraud claims.
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Where can I take series 7 classes.?
Provides books and computer training for NASD exams including the Series 6 license and Series 65 exam license. Series 7 exam training and NASD exam Provides books and computer training for NASD exams including the Series 6 license and Series 65 exam license. Series 7 exam training and NASD exam Provides books and computer training for NASD exams including the Series 6 license and Series 65 exam license. Series 7 exam training and NASD exam
What is the purpose of the NASD?
The National Association of Securities Dealers (NASD) is a self-regulatory organization that oversees and regulates the brokerage industry in the United States. Its purpose is to protect investors, maintain fair and efficient markets, and promote investor confidence in the financial industry. The NASD sets rules and regulations, licenses and regulates brokerage firms and their registered representatives, and enforces compliance with these rules.
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