NASD Whistleblower

NASD OTC Securities Exchange Whistleblowing platform is strictly to report improper activity such as unethical practices, gross misconduct, incompetence, inefficiency or unprofessional conduct of an investor, an issuer, an authorised trader or staff of the participating institution, employee, any member of the public

NASD wants you to report possible violations of the Investment and Securities Act 2007, SEC Consolidated Rules and Regulations, NASD OTC Securities Exchange Rules and fraud within the sphere of the activities managed by NASD to enable us to investigate and address your concerns. 

You can do this by simply completing the form on this page.

Please note that you are not necessarily required to disclose your identity. Whichever option you choose, please be assured your confidentiality wishes shall be fully respected.

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