--- title: National Association of Securities Dealers Disciplinary Actions description: Protect your business from fraud. 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[ Learn More ](https://www.cichecked.com/upcoming-events?hsLang=en) Financial Services Industry   # National Association of Securities Dealers Disciplinary Actions. ## Protecting Investors from Fraud --- The [National Association of Securities Dealers](https://www.finra.org/sites/default/files/Corporate/p009762.pdf) (NASD) was a self-regulatory organization (SRO) for the securities industry in the United States. NASD Disciplinary Actions were actions taken by the NASD against broker-dealers and their employees for violations of NASD rules or federal securities laws. The Association can impose a variety of sanctions, including fines, suspensions, and expulsions. The NASD Disciplinary Actions were an important part of the NASD's efforts to protect investors from [fraud and abuse](https://www.commercialinvestigationsllc.com/blog/with-background-checks-one-size-does-not-fit-all?__hstc=223307332.1aaf426aaa4f4866402b2db55190894c.1747661973081.1747664981880.1747669384267.3&__hssc=223307332.12.1747669384267&__hsfp=1623487770). The publication of the NASD Disciplinary Actions helped to inform investors about the risks of investing with broker-dealers who had been disciplined by the NASD. You can use a search of NASD Disciplinary Actions to help protect your business from potential fraud and misconduct. You can also identify potential employees who have been disciplined for securities-related violations. This information can help make informed hiring decisions and [protect from financial losses](https://www.commercialinvestigationsllc.com/blog/you-can-handle-the-truth-five-tips-for-uncovering-lies-in-the-hiring-process?__hstc=223307332.1aaf426aaa4f4866402b2db55190894c.1747661973081.1747664981880.1747669384267.3&__hssc=223307332.12.1747669384267&__hsfp=1623487770). It is significant to note that a search of NASD Disciplinary Actions is just one part of a comprehensive pre-employment background check. You should also consider [additional inquiries](https://www.cichecked.com/background-investigation-inquiries?hsLang=en) when performing a background check for a hiring decision. ## Background Screening Without the Runaround—Let’s Make It Simple. Too many gaps, too much guesswork? We streamline compliance, cut costs, and deliver clarity. 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