National Association of Securities Dealers Disciplinary Actions

The National Association of Securities Dealers (NASD) was a self-regulatory organization (SRO) for the securities industry in the United States. NASD Disciplinary Actions were actions taken by the NASD against broker-dealers and their employees for violations of NASD rules or federal securities laws.

The Association can impose a variety of sanctions, including fines, suspensions, and expulsions. The NASD Disciplinary Actions were an important part of the NASD's efforts to protect investors from fraud and abuse.

The publication of the NASD Disciplinary Actions helped to inform investors about the risks of investing with broker-dealers who had been disciplined by the NASD. You can use a search of NASD Disciplinary Actions to help protect your business from potential fraud and misconduct. You can also identify potential employees who have been disciplined for securities-related violations.

This information can help make informed hiring decisions and protect from financial losses. It is significant to note that a search of NASD Disciplinary Actions is just one part of a comprehensive pre-employment background check. You should also consider additional inquiries when performing a background check for a hiring decision.