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March 21, 2008, Newsletter Issue #110: The NASD

1

Tip of the Week

After other methods fail, go through the NASD to settle any disputes you have with your broker. The NASD, formerly known as the National Association of Securities Dealers, is a private organization charged with the responsibility of creating and enforcing rules for the people and firms in the securities industry.

All brokers and brokerage firms much be registered with the NASD and all past violations are kept on file with the NASD. For this reason, the NASD is an excellent resource for gathering information about brokers.



2

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