All Posts Tagged With: "NASD"

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NASD Fines HSBC Unit for Bond Violations (AP via Yahoo! Finance)

NASD Fines HSBC Unit for Bond Violations (AP via Yahoo! Finance) The National Association of Securities Dealers said it fined a U.S. brokerage unit of HSBC Holdings PLC $250,000 for failing to have adequate systems in place to supervise trading of government securities. Source: SEC penalizes companies in options probe (Los Angeles Times) Actions […]

1Jun2007 | | 0 comments | Continued
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Tobacco Cessation Incentives – Resources, Reviews and Other Incentive

that address the burden of tobacco consumption in low- and middle-income nations NASD: ANALYSIS OF THE PROPOSED RESOLUTION OF THE UNITED STATES TOBACCO Analysis of the Master Read More ReportZon

20May2007 | | 0 comments | Continued
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