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Joseph R Hardiman

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BUSINESS
September 30, 1987 | STAN HINDEN, The Washington Post
The "pink-sheet" market, one of the last arenas in which stock prices can be manipulated outside of electronic surveillance, would be subject to new public scrutiny under plans being studied by the National Assn. of Securities Dealers.
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BUSINESS
September 5, 1996 | From a Times Staff Writer
Joseph R. Hardiman, chief executive of the National Assn. of Securities Dealers, accepted some blame Wednesday for failings that led to a scathing disciplinary report on the NASD last month by the Securities and Exchange Commission. In an interview with Bloomberg Business News, Hardiman, 58, was asked about the SEC's charges that the NASD had failed to adequately police the Nasdaq Stock Market, its subsidiary. "I'm not proud of the events of the last several years." Hardiman said.
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BUSINESS
September 5, 1996 | From a Times Staff Writer
Joseph R. Hardiman, chief executive of the National Assn. of Securities Dealers, accepted some blame Wednesday for failings that led to a scathing disciplinary report on the NASD last month by the Securities and Exchange Commission. In an interview with Bloomberg Business News, Hardiman, 58, was asked about the SEC's charges that the NASD had failed to adequately police the Nasdaq Stock Market, its subsidiary. "I'm not proud of the events of the last several years." Hardiman said.
BUSINESS
September 30, 1987 | STAN HINDEN, The Washington Post
The "pink-sheet" market, one of the last arenas in which stock prices can be manipulated outside of electronic surveillance, would be subject to new public scrutiny under plans being studied by the National Assn. of Securities Dealers.
BUSINESS
July 23, 1987
James M. Davin was elected chairman of the National Assn. of Securities Dealers Inc., Washington. He will take office Sept. 1, when current Chairman Joseph R. Hardiman becomes association president.
BUSINESS
July 20, 1987
The National Assn. of Securities Dealers elected James M. Davin as chairman. Davin, currently vice chairman-finance of the NASD, is managing director in charge of the international equity department of First Boston Corp. The NASD said Davin will take office Sept. 1 when the current chairman, Joseph R. Hardiman, becomes president. Davin's term will expire in mid-January, 1988.
BUSINESS
June 12, 1994
The observation of two academicians ("Study Suggests Collusion Among Brokerage Firms," May 26) that trades in a large number of stocks on the Nasdaq Stock Market tend to move in price increments of one-quarter rather than one-eighth has a simple and direct explanation: the large-transaction character of many Nasdaq trades. Today, nearly half of Nasdaq share volume is made up of block trades of 10,000 shares or more. On Nasdaq, large investors expect competing market makers to trade in block sizes at one price.
BUSINESS
February 5, 1988 | OSWALD JOHNSTON, Times Staff Writer
Officials of the Chicago Mercantile Exchange and the Chicago Board of Trade, where 80% of all stock futures trading occurs, rejected proposals Thursday that regulation of the stock and futures markets be merged under a single federal agency such as the Securities and Exchange Commission or the Federal Reserve Board. In contrast, the presidents of the American Stock Exchange and New York's main over-the-counter stock market endorsed increased regulatory coordination. Kenneth R.
BUSINESS
November 17, 1995 | SCOT J. PALTROW, TIMES STAFF WRITER
The National Assn. of Securities Dealers board of governors is expected today to approve a major reorganization of the Nasdaq Stock Market's governing bodies to increase representation from outside the securities industry. But the changes would stop short of some of the recommendations issued recently by an independent committee headed by former Sen. Warren Rudman (R-N.H.). The NASD would be divided into three entities, each with its own board.
BUSINESS
February 9, 1995 | From Associated Press
A training program aimed at making Wall Street brokers better informed about regulations and rapid developments in the markets was approved Wednesday by the Securities and Exchange Commission. The SEC also hopes the continuing education program, the first ever in the securities industry, will reduce cases in which problem brokers cheat and steal from customers.
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