TITLE

SEC Doing Pay-to-Play Examinations

AUTHOR(S)
Hume, Lynn
PUB. DATE
July 2004
SOURCE
Bond Buyer;7/2/2004, Vol. 349 Issue 31918, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on efforts of the U.S. Securities and Exchange Commission to determine whether financial advisory firms engaged in pay-to-play practices in the municipal securities market. Number of financial advisers and broker-dealer firms; Correlation of the effort with the current corruption and pay-to-play scandal in Philadelphia; Violations possibly committed by firms in the municipal securities rules.
ACCESSION #
13671276

 

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