Groups Fear SEC Has Changed Its Probe Procedures

Ferris, Craig T.
June 2004
Bond Buyer;6/28/2004, Vol. 348 Issue 31914, p5
Trade Publication
Reports on the fixed-income trade groups' concerns about the U.S. Securities and Exchange Commission's (SEC) request that broker-dealers self-report on any deceptive practices in bidding on auction-rate securities. Fear of the trade groups that the SEC is asking firms to report legal conclusions that could be used against them in the future.


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