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NASA OFFICE OF HEARING OFFICERS ___ : DEPARTMENT OF : MARKET REGULATION, : : Complainant, : Disciplinary Proceeding : No. CMS030006 v. : : Hearing Officer ASH CASTLE SECURITIES CORP. : (CRD #16077)
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1 NASD Regulation, Inc. was a self-regulatory organization (SRO) that oversaw broker-dealers in the United States.
Broker-dealers in the United States were required to file 1 NASD Regulation, Inc.
1 NASD Regulation, Inc. required broker-dealers to report various information regarding their operations and compliance with regulations.
The purpose of 1 NASD Regulation, Inc. was to protect investors and maintain fair and orderly markets by regulating broker-dealers.
Broker-dealers were required to report information about their financial condition, compliance with regulations, and other operational details.
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