Legal Question in Securities Law in California

Re: Securities agreements

It's hard to assist you without a better idea what sort of 'agreements' you're fishing for. The NASD (National Association of Securities Dealers) and its slightly-affiliated exchange, the NASDAQ ("AQ" meaning automated quotations) each probably have dozens and dozens of agreements and understandings of various kinds on a wide range of subjects with the U.S. Securities and Exchange Commission, the chief regulatory body for securities and securities exchanges in this country.

Perhaps more important in defining the NASD-SEC or NASDAQ-SEC relationship, however, are the laws, regulations and interpretations thereof that have been handed down by the courts, Congress and the SEC itself over the decades since securities regulation began about 1933.

A good place to start might the the NASDAQ Web site, www.nasdaq.com, then look at "investor relations" and its sub-pages. The NASD and NASDAQ have each published several books describing their inner workings, aimed at investors and financial professionals.

Or, post another LawGuru question letting us know more precisely what information you need.