TITLE

NASD Amends Bylaws to Exclude Non-Paying Former Brokers

AUTHOR(S)
Hume, Lynn
PUB. DATE
August 2004
SOURCE
Bond Buyer;8/25/2004, Vol. 349 Issue 31955, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that the National Association of Securities Dealers has amended its bylaws to strengthen its ability to prevent former brokers from reentering the securities industry if they fail to pay an arbitration award. Details of the amendments approved by the U.S. Securities and Exchange Commission.
ACCESSION #
14243649

 

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