The National Association of Securities Dealers NASD was the self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDAQ stock market and over-the-counter markets.

It also administrated exams for investment professionals, such as the Series 7 exam. It was also the leading founder of the NASDAQ stock market, which was established in Operating as an overseer of stock market operations for market activity and the NASDAQ under the overall supervision of the Securities and Exchange Commission SECthe NASD played a leading part in the management of stock trading in the market from to Init merged with the New York Stock Exchange's NYSE regulation committee to form FINRA.

FINRA is an independent regulatory entity that functions similar to its NASD predecessor and oversees all stock market operations in the United States. Its functions include the oversight of all brokerage firms, branch offices and securities representatives. FINRA is monitored by the SEC and sanctioned to enforce the rules and regulations of the SEC.

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It provides for and facilitates the licensing of securities representatives dealing in all aspects of the market. Its licensing requirements are developed in conjunction with the regulations and oversight of the SEC.

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Leading required FINRA licenses include the Series 3, 6 and 7. In addition to licensing for individuals and firms, FINRA also provides ongoing educational seminars and monitors individuals and firms active in the financial markets for regulatory compliance. FINRA is also the lead arbitrator for all financial market trading disputes. In the financial markets, arbitration is the leading procedure for resolutions in dispute between entities and trading representatives.

FINRA facilitates arbitration proceedings, which are similar to formal court cases but have lower costs. FINRA arbitration panels are responsible for issuing final rulings on arbitration cases.

FINRA can also be compared to the North American Securities Administrators Association, which oversees the licensing requirements of three key market licenses including the Series 63, 65 and Dictionary Term Of The Day.

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What was the 'National Association Of Securities Dealers - NASD' The National Association of Securities Dealers NASD was the self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDAQ stock market and over-the-counter markets. Financial Industry Regulatory Authority FINRA is an independent regulatory entity that functions similar to its NASD predecessor and oversees all stock market operations in the United States.

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