TITLE

NASD Fines Firm $10K Over Trade Reporting

AUTHOR(S)
Hume, Lynn
PUB. DATE
August 2004
SOURCE
Bond Buyer;8/24/2004, Vol. 349 Issue 31954, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the National Association of Securities Dealers has fined BNY Clearing Service LLC for failing to provide accurate trade data to the Municipal Securities Rulemaking Board's transaction reporting program. Response of BNY Clearing Services to the allegations; Details of the case; Sanctions of BNY Clearing Services over trade reporting.
ACCESSION #
14239483

 

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