NASD Said to Be Preparing to Act Against Firms for Unfair Pricing

Hume, Lynn
April 2004
Bond Buyer;4/6/2004, Vol. 348 Issue 31857, p1
Trade Publication
Focuses on the preparation of the U.S. National Association of Securities Dealers to take enforcement action against a half-dozen broker-dealers for engaging in unfair pricing practices with customers. Possibility of settlements with municipal broker-dealer firms; Monetary fines for settlements; Concerns about wide pricing disparities in the municipal market.


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