TITLE

NASD Sweep Targets Broker-Dealers, MSRB Forum Hears

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2003
SOURCE
Bond Buyer;10/23/2003, Vol. 346 Issue 31746, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the conducted sweep of broker-dealers of the National Association of Securities Dealers, covering those involved in state college savings programs in the U.S. Determination if investors are being sold unsuitable investments; Consideration of the benefits and disadvantages of investing in such plans; Performance of inquiries of broker-dealers with regard to the Section 529 programs.
ACCESSION #
11179821

 

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