Bloomberg (December 1, 2006) -- The Wall Street crowd is giddier than a 10-year-old with a PlayStation 3 over news that the NASD and the New York Stock Exchange will be merging their regulatory units…
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The New York Times (November 29, 2006) -- WASHINGTON, Nov. 28 — The New York Stock Exchange and NASD announced plans on Tuesday to merge their regulatory organizations and eliminate duplicative and…
The New York Times (November 28, 2006) — The New York Stock Exchange and NASD announced plans on Tuesday to merge their regulatory organizations and eliminate duplicative and inconsistent rules,…
InvestmentNews (October 2, 2006 11:01 pm) -- Securities industry observers are expressing dismay that state regulators are pushing for elimination of the requirement that NASD arbitration panels…
InvestmentNews (August 7, 2006 11:01 pm) -- In an unusual move, NASD has withdrawn a proposed amendment to its arbitration code.The proposal, filed in May with the Securities and Exchange Commission…
InvestmentNews (July 7, 2006 11:01 pm) -- A major rewrite of NASD's arbitration code has erupted into controversy, with some plaintiff's attorneys accusing the self-regulatory organization of trying…
The New York Times (June 18, 2006) -- AFTER a Long Island charity that provides financial support for 190 current or former firefighters lost $614,036 in the stock market during the Internet bubble…
The Wall Street Journal (June 6, 2006 11:01 pm) -- An arbitrator once accused of being in Wall Street's pocket was part of a panel that unexpectedly returned a $14.5 million penalty against a major…
InvestmentNews (October 10, 2005 11:01 pm) -- Securities plaintiff's attorneys are getting a bit of a breather.Attendees at the annual Public Investors Arbitration Bar Association meeting here this…
The Wall Street Journal (Updated September 30, 2005 11:01 pm) -- An attempt by the National Association of Securities Dealers to reduce Wall Street's influence on arbitration panels that hear…