TITLE

NASD Issues Sanction Guidelines For Violations in Reports to MSRB

AUTHOR(S)
Hume, Lynn
PUB. DATE
March 2004
SOURCE
Bond Buyer;3/23/2004, Vol. 347 Issue 31847, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the U.S. National Association of Securities Dealers has issued sanction guidelines for violations in reports to the Municipal Securities Rulemaking Board. Disciplinary action against broker-dealers with low compliance on muni bond transaction; Fines for any rule violations specified under the program; List of rules in the guidelines.
ACCESSION #
12651413

 

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