Tuesday, May 22, 2007
NASD: Friend or Foe?
How should insurance agents, brokers and sales people regard the NASD?
NASD is the main Self Regulatory Organization (SRO) in charge of its industry under the supervision of the Securities and Exchange Commission. With a staff of almost 2,500 and an annual budget exceeding $500 million, NASD’s role includes watching over the activities of almost 5,100 brokerage firms, approximately 171,000 branch offices, and more than 663,000 registered securities representatives.
NASD: Friend or Foe?
Source: Insurance News Net
NASD is the main Self Regulatory Organization (SRO) in charge of its industry under the supervision of the Securities and Exchange Commission. With a staff of almost 2,500 and an annual budget exceeding $500 million, NASD’s role includes watching over the activities of almost 5,100 brokerage firms, approximately 171,000 branch offices, and more than 663,000 registered securities representatives.
NASD: Friend or Foe?
Source: Insurance News Net
Permalink posted by armandn @ 6:55 AM 
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