National Association of Securities Dealers
E24711
The National Association of Securities Dealers (NASD) was a self-regulatory organization that oversaw U.S. broker-dealers and securities markets before its regulatory functions were consolidated into the Financial Industry Regulatory Authority (FINRA).
Aliases (1)
- NASD ×2
Statements (47)
| Predicate | Object |
|---|---|
| instanceOf |
self-regulatory organization
→
trade association → |
| abbreviation |
NASD
→
|
| collaboratesWith |
U.S. Securities and Exchange Commission
→
|
| country |
United States
→
|
| dissolvedInto |
Financial Industry Regulatory Authority
→
|
| enforces |
disciplinary actions against member firms
→
disciplinary actions against registered representatives → |
| foundedBy |
U.S. securities industry participants
→
|
| governs |
conduct of its member firms
→
|
| hasJurisdiction |
U.S. broker-dealer industry
→
United States securities markets → |
| hasMember |
broker-dealer firms
→
securities dealers → |
| hasRegulatoryAuthorityOver |
member broker-dealer firms
→
registered representatives → |
| headquartersLocation |
Washington, D.C.
→
|
| historicalRole |
primary self-regulatory organization for U.S. broker-dealers prior to FINRA
→
|
| industry |
securities industry
→
|
| languageOfWork |
English
→
|
| legalForm |
non-profit organization
→
|
| locationCountry |
United States
→
|
| mergedInto |
Financial Industry Regulatory Authority
→
|
| monitors |
compliance with securities rules by member firms
→
|
| offers |
arbitration forum for securities disputes
→
|
| operatedAs |
self-regulatory organization for broker-dealers
→
|
| operatedIn |
20th century
→
early 21st century → |
| performsFunction |
arbitration and dispute resolution
→
enforcement of securities rules → licensing and registration of securities professionals → market regulation → member regulation → rulemaking for member firms → |
| regulates |
NASDAQ market (historically)
→
broker-dealers → over-the-counter securities markets → securities firms → |
| regulatoryModel |
self-regulation under SEC oversight
→
|
| setsStandardsFor |
conduct of broker-dealers
→
qualification of registered representatives → |
| shortName |
NASD
→
|
| subjectTo |
oversight by the U.S. Securities and Exchange Commission
→
|
| successorOrganization |
Financial Industry Regulatory Authority
→
|
| supervises |
sales practices of broker-dealers
→
trading practices in certain securities markets → |
| typeOfOrganization |
membership organization
→
|
Referenced by (3)
| Subject (surface form when different) | Predicate |
|---|---|
|
National Association of Securities Dealers
("NASD")
→
|
abbreviation |
|
Financial Industry Regulatory Authority
→
|
formedByMergerOf |
|
National Association of Securities Dealers
("NASD")
→
|
shortName |