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Morgan Stanley charged over ‘lost’ e-mails
...has been charged by the US National Association of Securities Dealers (NASD) with falsely claiming that millions...exchange commission trade center new york securities dealers national association lost charged destroyed... http://www.computerweekly.com/Articles/2006/12/20/220773/morgan-stanley-charged-over-lost-e-mails.htm
Disaster plans put Wall Street under pressure
...occurs. Last month, US Securities and Exchange Commission approved rules proposed by the National Association of Securities Dealers and the New York Stock Exchange that require firms to submit business continuity plans detailing how they will provide... http://www.computerweekly.com/Articles/2004/05/11/202352/disaster-plans-put-wall-street-under-pressure.htm
Data management overview: Chapter 4 - Compliance
...to be stored offsite on nonrewritable media that is indexed and easily retrievable. The National Association of Securities Dealers (NASD) has imposed rules 3010, 3012 and 3013 to address a CEO's supervisory policies and procedures within... http://www.computerweekly.com/Articles/2006/07/31/217318/data-management-overview-chapter-4-compliance.htm
Wall Street firms fined $8.25m for e-mail violations
...The US Securities and Exchange Commission (SEC), the New York Stock Exchange and the National Association of Securities Dealers (the parent organisation of Nasdaq), said they each conducted separate investigations of the firms in determining... http://www.computerweekly.com/Articles/2002/12/04/191378/wall-street-firms-fined-8.25m-for-e-mail-violations.htm
Financial instant messages to be stored for three years
...business, this time focusing on the increasingly popular instant messaging (IM). The National Association of Securities Dealers (NASD) informed its 5,300 members that they must retain their IM records for at least three years. Under US... http://www.computerweekly.com/Articles/2003/06/20/195423/financial-instant-messages-to-be-stored-for-three-years.htm
IT faces a lack of project management know-how
...professionals with similar skills, said Martin Colburn, chief technology officer at the National Association of Securities Dealers. To combat that, he said, IT managers should develop a matrix of the primary and backup skills they need and... http://www.computerweekly.com/Articles/2003/08/11/196528/it-faces-a-lack-of-project-management-know-how.htm
IBM takes on US compliance requirements
...retention and retrieval requirements from the US Securities and Exchange Commission and the National Association of Securities Dealers. IBM Asset Disposition Data Disposal - Disk Wipe Services: Services for ensuring that sensitive information... http://www.computerweekly.com/Articles/2003/10/29/198258/ibm-takes-on-us-compliance-requirements.htm
Banks, brokerages dogged by e-mail regulations
...customers. The US Securities and Exchange Commission, the New York Stock Exchange and the National Association of Securities Dealers have all recently imposed regulations about the type of information broker/dealers can share with clients via... http://www.computerweekly.com/Articles/2004/06/30/203506/banks-brokerages-dogged-by-e-mail-regulations.htm
IT managers say hurricane preparation paid off
...been on the power grid. Meanwhile, Martin Colburn, chief technology officer at the National Association of Securities Dealers in Rockville, said his IT systems, which support 5,300 brokerage firm members, were running on backup generator... http://www.computerweekly.com/Articles/2003/09/22/197358/it-managers-say-hurricane-preparation-paid-off.htm
WorldCom-Salomon ties spark arbitration claims
...000) on WorldCom stock, delivered documents for the initial cases to the offices of the National Association of Securities Dealers in New York yesterday. Robert Weiss, an attorney from the firm Hooper & Weiss, which represents the claimants... http://www.computerweekly.com/Articles/2003/01/14/191870/WorldCom-Salomon-ties-spark-arbitration-claims.htm
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ICMA and Japan Securities Dealers Association sign MoU
...Market Association, 21 January 2008 ICMA and Japan Securities Dealers Association sign MoU The International Capital Market Association (ICMA) and the Japan Securities Dealers Association (JSDA) have today signed a... http://www.finextra.com/fullpr.asp?id=19462
Icahn launches Yahoo proxy fight; Mark Cuban's return? | Between the Lines | ZDNet.com
STEC, Inc. (STEC) Chief Executive Officer to Ring the NASDAQ Stock Market Opening Bell (GlobeNewswire)
TIBCO | TIBCO Software Chosen as Infrastructure for Nasdaq's Supermontage
Instinet's European SmartRouter Again Wins Buy-Side Technology's "Best Broker-Supplied
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The Impact of the New FRCP Rules on Your Business
...imposed upon broker-dealers by the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD), the FRCP apply to virtually all organizations in all industries. If an organization can have a civil... http://www.findwhitepapers.com/whitepaper1507/
National Association of Securities Dealers Automated Quotation System (NASDAQ) | Get National
NASD
White Paper: E-mail Records Management
Microsoft: Charting the Course? - Projects Enterprise Planning
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