TITLE

Yield burning, rule g-37 among SEC exam priorities

AUTHOR(S)
Hume, Lynn Stevens
PUB. DATE
January 1999
SOURCE
Bond Buyer;01/19/99, Vol. 327 Issue 30560, p31
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Focuses on the priorities of the United States Securities and Exchange Commission's broker-dealer inspection and examination program. Checking for firms' compliance with the Municipal Securities Rulemaking Board's Rule G-37 and yield-burning abuses.
ACCESSION #
1463214

 

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