NASD Price Abuse Cases Due Out Soon

Hume, Lynn
June 2004
Bond Buyer;6/18/2004, Vol. 348 Issue 31908, p1
Trade Publication
Reports on the investigation of cases of pricing abuses in the municipal and corporate bond markets by the National Association of Securities Dealers in the U.S. Plan of the organization to announce enforcement action against dealers in some of the cases; Move of the Securities and Exchange Commission to publish the proposal of Municipal Securities Rulemaking Board to begin the real time transaction; Requirement of the policy for dealers to report pricing data.


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