TITLE

Groups Fear SEC Has Changed Its Probe Procedures

AUTHOR(S)
Ferris, Craig T.
PUB. DATE
June 2004
SOURCE
Bond Buyer;6/28/2004, Vol. 348 Issue 31914, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
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.
ACCESSION #
13639938

 

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