 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1972 - 1656 lapas
...were then available. Representatives of The Rand Corporation and the American Stock Exchange IAMEX) , the National Association of Securities Dealers (NASD) , and the New York Stock Exchange (NYSE) met early in 1969 to discuss vhat Rand might do to provide methods for evaluating changes In the operations... | |
 | United States. General Accounting Office - 1994 - 52 lapas
...approval of SROS' rules and regulations and review of examination and disciplinary programs. SROS, such as the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE), establish rules of conduct for their member securities firms and perform examinations (on a routine... | |
 | DIANE Publishing Company - 1995 - 56 lapas
...approval of SROS' rules and regulations and review of examination and disciplinary programs. SROS, such as the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE), establish rules of conduct for their member securities firms and perform examinations (on a routine... | |
 | United States. Congress. House. Committee on Banking and Financial Services - 1995 - 728 lapas
...Commission, we also have 51 state securities agencies and multiple self-regulatory organizations, including the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE). All of these entities work together to ensure the integrity of the marketplace. Rather than relying... | |
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SROS' rules and regulations and review of examination and disciplinary programs. SROS, such as the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE... 
