NASD Fines H&R Block for Market Timing
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H&R Block's  broker affiliate was censured and fined &#36;500,000 for enabling a hedge fund customer in its Orlando office to engage in deceptive practices to market-time mutual funds, regulators said on Tuesday.
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The NASD and NYSE are to consolidate regulatory functions.
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H&R Block Inc. , the largest U.S. tax preparer, posted a fourth-quarter loss on Thursday, as the deterioration of the U.S. subprime market hurt the value of its mortgage business.
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Creative Technology has postponedÂ plans to delist from the Nasdaq stock exchangeÂ until August 31, saying it wants to give investors more time to sell off their shares.
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The NASD on Monday said it fined Citigroup Global Markets Inc. &#36;250,000 for distributing inappropriate hedge fund sales literature, in the regulator's largest fine involving hedge fund sales by broker-dealers.
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Regulators are apparently not basking in the spirit of holiday giving, at least where Wall Street is concerned. NASD, which is the regulatory arm of the Nasdaq stock market, and the Securities
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A unit of JPMorgan Chase & Co. JPM.N   botched a trade for a basket of Japanese stocks on Monday when   it mistakenly sold shares linked to the wrong index, helping   spark a brief fall in the market.
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H&R Block looks to put its subprime woes behind it.
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The NASD said Wednesday that it had fined Wells Fargo and its former director of research for failing to disclose that an analyst had taken a job with the company she was recommending.
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H&R Block Inc. , the nation's largest tax preparer, on Wednesday said its decision to write down the value of its Option One Mortgage business, which is up for sale, increased the company's net loss in the fiscal third quarter by $15.5 million to $60.3 million.
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The New York Stock Exchange, which is battling the rival Nasdaq Stock Market for listings, plans to eliminate fees of as much as $250,000 for companies that transfer to the Big Board.
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The New York Stock Exchange said on Thursday it instituted downside trading curbs as U.S. stocks fell sharply in early trading.
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The New York Stock Exchange said on  Thursday it instituted downside trading curbs as U.S. stocks  fell sharply in early trading.
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The NASD on Tuesday said it censured and fined 29 securities firms a total of &#36;9.22 million for failing to properly disclose required information about their brokers more than 8,300 times.
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Top U.S. tax preparer H&R Block Inc   said on Thursday the borrowing capacity under its  committed lines of credit might not be sufficient to meet its  financing needs and it might need to issue added debt or equity  securities to meet future requirements.
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H&R Block Inc.'s HRB.N financial  advisers unit misrepresented the risks of $16.4 million in  bonds from Enron Corp ENRNQ.PK before the energy trader sank  into bankruptcy, the NASD said in a civil fraud complaint  seeking restitution for more than 800 investors.
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Top U.S. tax preparer H&R Block Inc  said on Thursday the borrowing capacity under its committed lines of credit might not be sufficient to meet its financing needs and it might need to issue added debt or equity securities to meet future requirements.