Dictionary Home »
Invest » NASD Regulation Inc.
NASD Regulation Inc. investment & finance definition
An independent subsidiary of the National
Association of Securities Dealers, which operates the NASDAQ stock market.
NASDR:
- Is responsible for regulating brokers and dealers on the NASDAQ stock market and the over-the-counter securities markets
- Provides forums to resolve disputes through arbitration proceedings
- Reviews advertising and underwriting to ensure that firms are not making inappropriate claims
- Regulates the sale of mutual funds, direct participation programs, and variable annuities