证券交易商
2.Activities of account executives are overseen by the SEC and the NASD.
3.A middleman in the exchange of stocks and securities among brokers.
4.The other major variety of commercial paper is dealer paper, issued by security dealers on behalf of their corporate customers.
5.a computerized data system to provide brokers with price quotations for securities; National Association of Securities Dealers Automated Quotations.
6.Us state laws to protect investor against fraudulent trader in securities.
7.They deal directly with the investor rather than using a securities dealer as an intermediary and borrow continuously.
8.NASDAQ is likely reacting to the lull to pre-empt any interest from the New York Stock Exchange, which could be a potential partner as well.
9.Today Nasdaq and NASD have separate managements, boards of directors and chairmen.
10.Some companies in the financial services industry are required by regulatory bodies such as the SEC and NASD to log, monitor and capture instant messaging.
