SEC, NASD Probing Dealer Gifts and Gratuities Industry-Wide

Hume, Lynn
February 2005
Bond Buyer;2/14/2005, Vol. 351 Issue 32070, p4
Trade Publication
Reports that the Securities and Exchange Commission and the National Association of Securities Dealers are conducting an industry-wide investigations of dealer gifts and gratuities that could touch on municipal bonds as well as other securities and mutual bonds in the United States.


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