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Home > Financial Services > Stock Brokers > Liquivest, Inc.
Liquivest, Inc.
Liquivest Inc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
The Company role in the United States is well known NASD has long served as the primary private sector regulator of America's securities industry. They oversee the activities of more than 5,100 brokerage firms, approximately 138,820 branch offices and more than 659,080 registered securities representatives. In addition, they provide outsourced regulatory products and services to a number of stock markets and exchanges.
As the world's leading private sector provider of financial regulatory services, NASD has helped bring integrity to the markets and confidence to investors for more than 60 years.
The Company oversight to education, they touch virtually every aspect of the securities industry. NASD licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance and disciplines those who fail to comply. They oversee and regulate trading in equities, corporate bonds, securities futures and options.
The Company also provides education and qualification examinations to industry professionals while supporting securities firms in their compliance activities. They also operate the largest securities dispute resolution forum in the world, processing over 8,000 arbitrations and 1,000 mediations a year. With a staff of nearly 2,000 and an annual budget of more than $500 million, NASD is a world leader in capital markets regulation.
The Company products and services are based on hands on industry experience, and a growing roster of worldwide clients is taking advantage of NASD's tested, proven offerings. Learn how NASD can leverage its expertise on behalf of your organization.NASD employs a fair system for disciplining firms and individuals who break the rules. They may take disciplinary action through a settlement, or issue a formal complaint. If a complaint is issued, the case is heard before a panel which is chaired by a professional hearing officer and includes two industry representations.
The Company is exceptionally proficient at grabbing promising opportunities. The Company continues to expand its horizons in finance setting standards of excellence in multiple fields and transforming promise and potential into economic realty.
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