Investor Protection In line with NASD's commitment to ensuring transparency, integrity , and investor protection, NASD has instituted a Complaint Management Framework to manage investors' complaints against Members. All complaints received by NASD shall be investigated under the direction of the Disciplinary Committee and Board (as required) and resolved in a fair and equitable manner.
NASD Complaint Handling Process
The following are the steps involved in the Complaint handling process of NASD:
Assess and Investigate Complaints
Follow up with Complainant & Review Complaint Management Process
Close ComplaintNotify the Commission of the violation and disciplinary action taken and close the complaint.
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