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The Securities and Exchange Commission has the legal authority to overturn fines imposed by the NASD, a federal appeals court ruled this week. A three-judge panel of the D.C. Circuit rejected an appeal Tuesday by the NASD, formerly known as the National Association of Securities Dealers, which had argued its ability to regulate would be at risk if the SEC could overturn its disciplinary actions. The court said the NASD lacked legal standing as "a person aggrieved" in dismissing the suit.
December 16, 2005 at 12:00 AM
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The original version of this story was published on Law.Com
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