NASD definition: Copy, customize, and use instantly
Introduction
The term "NASD" stands for the National Association of Securities Dealers, which was a self-regulatory organization for the securities industry in the United States. It operated until 2007 when it merged with the regulatory functions of the New York Stock Exchange to form the Financial Industry Regulatory Authority (FINRA). NASD played a crucial role in overseeing brokerage firms, market participants, and securities transactions to ensure compliance with industry standards and regulations.
Below are various examples of how "NASD" can be defined in different contexts. Copy the one that fits your needs, customize it, and use it in your contract.
Definition of "NASD" as a self-regulatory organization
This definition ties "NASD" to its role as a self-regulatory body within the financial services industry.
"NASD" means the National Association of Securities Dealers, a self-regulatory organization responsible for overseeing and regulating brokerage firms, securities markets, and their participants in accordance with industry rules and standards.
Definition of "NASD" as a regulatory body
This definition connects "NASD" to its function as a regulatory body for the securities industry.
"NASD" refers to the regulatory body formerly known as the National Association of Securities Dealers, responsible for regulating securities brokers, dealers, and the conduct of market participants.
Definition of "NASD" as a market oversight authority
This definition links "NASD" to its role in overseeing the securities markets to ensure fairness and compliance.
"NASD" means the National Association of Securities Dealers, which acted as an authority overseeing the fairness and integrity of securities transactions and market activities.
Definition of "NASD" as a securities regulatory authority
This definition ties "NASD" to its authority in regulating the securities industry.
"NASD" refers to the National Association of Securities Dealers, a securities regulatory authority that provided oversight of brokerage firms, securities transactions, and market activities to ensure compliance with industry standards.
Definition of "NASD" as a financial industry regulator
This definition connects "NASD" to its function as a financial industry regulator.
"NASD" means the National Association of Securities Dealers, which regulated the conduct of broker-dealers and other market participants to promote fair, transparent, and efficient financial markets.
Definition of "NASD" as an organization ensuring market integrity
This definition emphasizes "NASD's" role in ensuring the integrity of securities markets.
"NASD" refers to the National Association of Securities Dealers, an organization dedicated to ensuring the integrity and fairness of securities markets through regulatory oversight and enforcement of industry standards.
Definition of "NASD" as a market participant compliance body
This definition links "NASD" to its function as a compliance body for market participants.
"NASD" means the National Association of Securities Dealers, which worked to ensure that market participants, including broker-dealers, adhered to industry regulations and standards for fair trading practices.
Definition of "NASD" as an oversight entity for brokerage firms
This definition ties "NASD" to its oversight of brokerage firms within the securities industry.
"NASD" refers to the National Association of Securities Dealers, which oversaw the operations, conduct, and compliance of brokerage firms and their employees.
Definition of "NASD" as a provider of securities industry standards
This definition emphasizes "NASD's" role in establishing and enforcing industry standards for securities transactions.
"NASD" means the National Association of Securities Dealers, which was responsible for establishing and enforcing regulatory standards for broker-dealers and securities transactions to protect investors and maintain market fairness.
Definition of "NASD" as a historical securities industry regulator
This definition applies "NASD" to its role in the historical regulation of the securities industry.
"NASD" refers to the National Association of Securities Dealers, which historically provided regulation and oversight of the securities industry before merging with the NYSE to form FINRA.
Definition of "NASD" as a merger precursor to FINRA
This definition links "NASD" to its role as the precursor organization to FINRA.
"NASD" means the National Association of Securities Dealers, which was the precursor to the Financial Industry Regulatory Authority (FINRA), following a merger that combined NASD and NYSE regulatory functions.
Definition of "NASD" as a professional industry association
This definition ties "NASD" to its role as a professional association for the securities industry.
"NASD" refers to the National Association of Securities Dealers, a professional association that represented broker-dealers and securities professionals and regulated the conduct of market participants.
Definition of "NASD" as a securities compliance enforcer
This definition connects "NASD" to its enforcement role in securities compliance.
"NASD" means the National Association of Securities Dealers, an enforcer of compliance with industry rules and regulations to maintain the integrity of the securities markets.
Definition of "NASD" as an educational resource for market participants
This definition applies "NASD" to its educational efforts for market participants.
"NASD" refers to the National Association of Securities Dealers, which also provided educational resources and training for market participants to help ensure compliance with industry regulations.
Definition of "NASD" as a securities dispute resolution organization
This definition connects "NASD" to its role in providing dispute resolution services in the securities industry.
"NASD" means the National Association of Securities Dealers, which provided dispute resolution services, including arbitration and mediation, to resolve conflicts between investors, brokers, and firms.
Definition of "NASD" as a predecessor of the FINRA
This definition ties "NASD" to its role as the predecessor organization of FINRA.
"NASD" refers to the National Association of Securities Dealers, a predecessor of the Financial Industry Regulatory Authority (FINRA), which assumed NASD's regulatory and oversight responsibilities after the merger.
Definition of "NASD" as a body ensuring ethical conduct in the securities industry
This definition links "NASD" to its role in promoting ethical conduct in the securities industry.
"NASD" means the National Association of Securities Dealers, which played a key role in ensuring that broker-dealers and other market participants adhered to ethical standards and regulatory compliance in the securities industry.
Definition of "NASD" as a central authority for securities regulation
This definition connects "NASD" to its function as a central authority for regulating securities transactions.
"NASD" refers to the National Association of Securities Dealers, which acted as a central authority regulating securities transactions, market conduct, and ensuring adherence to industry standards.
Definition of "NASD" as a body that provided licensing for market professionals
This definition ties "NASD" to its role in licensing market professionals.
"NASD" means the National Association of Securities Dealers, which was responsible for the licensing and registration of securities professionals, including brokers and dealers, to ensure compliance with industry standards.
Definition of "NASD" as an agency overseeing trading practices
This definition links "NASD" to its oversight of trading practices within the securities industry.
"NASD" refers to the National Association of Securities Dealers, which oversaw trading practices in securities markets to ensure transparency, fairness, and compliance with established rules.
Definition of "NASD" as a facilitator of securities market reform
This definition connects "NASD" to its role in facilitating reforms within the securities markets.
"NASD" means the National Association of Securities Dealers, which facilitated reforms in the securities industry to address emerging market challenges and promote market integrity.
Definition of "NASD" as an organization for industry certifications
This definition ties "NASD" to its role in certifying individuals and firms in the securities industry.
"NASD" refers to the National Association of Securities Dealers, which certified securities professionals and firms through licensing exams and accreditation to ensure industry competence.
Definition of "NASD" as a promoter of investor protection
This definition emphasizes "NASD's" role in promoting investor protection.
"NASD" means the National Association of Securities Dealers, which worked to protect investors by establishing regulations and overseeing securities transactions to prevent fraud and ensure fairness in the markets.
Definition of "NASD" as a body for the investigation of violations
This definition connects "NASD" to its investigative function in detecting violations of securities regulations.
"NASD" refers to the National Association of Securities Dealers, which was responsible for investigating and enforcing violations of securities regulations and industry standards.
Definition of "NASD" as a promoter of market transparency
This definition ties "NASD" to its role in promoting transparency in the securities market.
"NASD" means the National Association of Securities Dealers, which worked to ensure transparency in the securities market by overseeing reporting and disclosure requirements.
Definition of "NASD" as an issuer of regulatory guidelines
This definition links "NASD" to its role in issuing regulatory guidelines for the securities industry.
"NASD" refers to the National Association of Securities Dealers, which issued regulatory guidelines to ensure fair and transparent practices among securities firms and professionals.
Definition of "NASD" as an enabler of financial market reforms
This definition connects "NASD" to its role in enabling reforms within financial markets.
"NASD" means the National Association of Securities Dealers, which played a pivotal role in enabling reforms in the financial markets to enhance market fairness and efficiency.
Definition of "NASD" as a body for market conduct monitoring
This definition ties "NASD" to its monitoring role for market conduct.
"NASD" refers to the National Association of Securities Dealers, which actively monitored market conduct to ensure compliance with regulations and ethical practices in securities trading.
Definition of "NASD" as a facilitator of market access
This definition connects "NASD" to its facilitation of market access.
"NASD" means the National Association of Securities Dealers, which facilitated market access for broker-dealers and other financial professionals to engage in securities trading.
Definition of "NASD" as a historical securities oversight organization
This definition links "NASD" to its historical role in overseeing the securities industry before its merger.
"NASD" refers to the National Association of Securities Dealers, a historical organization that played a significant role in overseeing and regulating the securities industry prior to the formation of FINRA.
Definition of "NASD" as an authority for compliance monitoring
This definition ties "NASD" to its compliance monitoring role in the securities industry.
"NASD" means the National Association of Securities Dealers, an authority responsible for compliance monitoring and enforcement of securities industry regulations.
This article contains general legal information and does not contain legal advice. Cobrief is not a law firm or a substitute for an attorney or law firm. The law is complex and changes often. For legal advice, please ask a lawyer.