Financial Dictionary
Atlantic Financial
Atlantic Financial
Investment
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Prior to July 2007, The National Association of Securities Dealers (NASD) was
the self regulatory body of the securities industry.
The NASD was responsible for monitoring and establishing supervisory procedures
for brokers. In order to act as a broker individuals must pass a licensing
procedure with the NASD.
In July 2007 the NASD and the member regulation enforcement & arbitration
functions of the New York Stock Exchange, were consolidated to form
FINRA.
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National
Association of Securities Dealers (NASD)
