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Article: National Association of Securities Dealers Offers Public Disclosure Program.(Knight Ridder/Tribune Business News)
- Article from:
- Knight Ridder/Tribune Business News
- Article date:
- October 27, 2000
- Author:
CopyrightCOPYRIGHT 2000 Knight-Ridder/Tribune Business News. This material is published under license from the publisher through the Gale Group, Farmington Hills, Michigan. All inquiries regarding rights should be directed to the Gale Group. (Hide copyright information)
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Oct. 28--The National Association of Securities Dealers offers a public disclosure program designed to give investors information on the backgrounds of brokers and brokerages including any regulatory sanctions or consumer complaints against them.
To begin the process, which can take two weeks, investors can either call the NASD hotline at (800) 289-9999 or go to the NASD's Web site at www.nasd.com and click on "Securities Industry Regulation." Information the NASD says it will provide on individual brokers and brokerages includes:
-- Any felony charges and convictions, as well as some investment-related misdemeanor
charges and convictions.
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