TITLE

SIA: SEC Criticism of Dealers Unfounded

AUTHOR(S)
Hume, Lynn
PUB. DATE
March 2004
SOURCE
Bond Buyer;3/31/2004, Vol. 347 Issue 31853, p4
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the reaction of the Securities Industry Association (SIA) to the U.S. Securities and Exchange Commission's (SEC) criticism of the sale of state-sponsored college saving plans by broker-dealers. Full authority of SEC to review broker-dealer sales practices; Proposal of SEC to require broker-dealer to disclose fee; Claim of SIA that the federal government do not regulate state-sponsored college savings plans.
ACCESSION #
12728555

 

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