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Franklin Gold Comment on Special Notice 7/30/18
Todd Krajniak Comment on Special Notice 7/30/18
CleverDome Comment on Special Notice 7/30/18
Corlytics Comments on Special Notice 7/30/18
Templum Comments on Special Notice 07/30/18
SIFMA Comment on Special notice 7/30/18
1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
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Testimony Before the Permanent Subcommittee on Investigations Hearing on Micro-Cap Stock Fraud
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
Testimony Before the Permanent Subcommittee on Investigations
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
Testimony Before the Finance and Hazardous Materials Subcommittee of the Commerce Committee
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.