Eight Firms to Pay Over Price Abuses
- NASD Hands Out $625,000 In Fines For Late Trading Of Mutual Funds. // Insurance Advocate;7/12/2004, Vol. 115 Issue 25, p34
Reports that the NASD has censured and fined brokerage firms. Failure of the firms to implement adequate supervisory systems and written procedures designed to detect and prevent late trading; Vigilance of the NASD about sanctioning firms for failing to have adequate supervisory systems;...
- NASD Fines Three Brokers $3.1 M for Market Timing. // Money Management Executive;10/10/2005, Vol. 13 Issue 38, p3
Reports that the U.S. National Association of Securities Dealers (NASD) has fined three brokerage firms for permitting improper market timing. Names of the three brokerage firms; Amount of the fine imposed by the NASD for each brokerage firm; Respective repayment imposed to the three brokerage...
- Muni Prices Mixed as Primary Quiets Down. Barnett, Chip; Weitzman, Aaron // Bond Buyer;9/4/2015, Vol. 1 Issue F334, p1
Prices of top-rated municipal bonds were nearly unchanged at mid-session, traders said, as yields on some maturities were unchanged to as much as one basis point stronger.
- Tough Medicine: NASD Fines Hit $102 Million in 2004. Trincal, Emma // On Wall Street;Feb2005, Vol. 15 Issue 2, p36
Reports on the increase of disciplinary fines collected by the National Association of Securities Dealers (NASD) in 2004. Amount of the fines that were collected; Statement from Barry Goldsmith, NASD enforcement chief, regarding the increase of the amount of fines; Focus of the NASD regulatory...
- Chicago Parks District Forced to Dig Deeper. Shields, Yvette // Bond Buyer;8/31/2015, Vol. 1 Issue 34369, p1
The Chicago Park District's steep yield premiums drew strong interest in the agency's Aug. 27 sale as the penalties nearly doubled on some maturities when compared to a June 2014 sale that carried the same published ratings.
- DISPATCHING A DISPUTE. Barrett, Colin // Journal of Commerce (1542-3867);2/20/2012, Vol. 13 Issue 7, p52
The article provides answers to the questions of whether a brokerage firm can enforce late delivery penalties on a motor carrier and whether it can also withhold a carrier's debt to a customer out of its own payment to the carrier.
- U.S. Securities Prices . // Bond Buyer;11/29/2001, Vol. 338 Issue 31274, p40
Presents information about U.S. securities prices as of November 29, 2001. Prices of treasury bills and notes; Brief information about Lehman Brothers Long Treasury Bond Index.
- Competitive Note Sales. // Bondbuyer.com;3/16/2015, p30
A chart is presented that lists information on competitive note sales scheduled from March 16 to March 24, 2015 by issuers including Norfolk County, Massachusetts, East Brunswick Township, New Jersey, and Peabody, Massachusetts.
- Competitive Bond Sales. // Bond Buyer;11/12/2013, Vol. 122 Issue 34010, p1
The article focuses on the competitive bond sales as of November 2013.