Articles tagged: NASD 

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Finally ‘Suitability’ Test Arrives At The Mortgage Industry’s Gate…How Bad Does It Have To Get written by Dale Rogers
The National Association of Stock Dealers (NASD) police and license stock brokers through the Series 6 and/or 7 licensing requirements as well as other controls on a nationwide basis. If an elderly person with fixed assets has a disportionate share of their assets in pork belly futures, index options or maybe a wild derivative product, this would be a case of crossing the line on suitability. Investment needs require matching with risk.

How to Find How Much Stock a CEO Holds written by David Snape
Have you ever been curious about how much stock your company officers hold? Or, are you an investor who needs to know? This article gives a fairly quick method to find out, utilizing information available on the NASDAQ's web site.

Ishares and ETFs: Indexed Investment Illusions written by Steve Selengut

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