TITLE

Bigger Fines For MSRB Violations

AUTHOR(S)
Hume, Lynn
PUB. DATE
March 2006
SOURCE
Bond Buyer;3/10/2006, Vol. 355 Issue 32336, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports that the National Association of Securities Dealers in the United States is considering imposing bigger fines and tighter sanctions for dealers who violate Municipal Securities Rulemaking Board rules. The rules cover trade reporting and execution, political contribution and consultant activity filings, fairdealing and pricing and imposing separate fines for certain trade reporting or filing failures.
ACCESSION #
20281957

 

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