TITLE

NASD to target 80 more firms in Rule G-36 crackdown, official says

AUTHOR(S)
Preston, Darrell
PUB. DATE
January 1998
SOURCE
Bond Buyer;01/09/98, Vol. 323 Issue 30307, p30
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the National Association of Securities Dealers' (NASD) crackdown on more municipal securities firms for violations of Rule G-36 requiring underwriters to send official statements within certain time frames. Disclosure of NASD's plans by director of fixed-income securities Mac Northam; Concerns of market players about rules on pricing and markups of securities trades.
ACCESSION #
102001

 

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