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Rating:NASD Increasing Scrutiny of Funds, 529 Plans Not Rated 0.0 Email Routing List Email & Route  Print Print
Wednesday, December 28, 2005

NASD Increasing Scrutiny of Funds, 529 Plans

by: Armie Margaret Lee

The NASD said Tuesday that its heightened watch on sales of mutual funds, variable annuities and 529 College Savings Plans in 2005 has pushed the amount of fines it collected to a record high.

In 2005, the regulator collected a total of $ 125.4 million in fines, up from $103.9 million last year.

The NASD also said the number of disciplinary actions it filed this year hit 1,421, representing a 1.1 percent rise from last year. The number of firms expelled from membership totaled 14, down from 22 last year, while the number of individuals barred from the industry reached 381, down from 454 in 2004. 

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