TITLE

NASD to Target More Abuses

AUTHOR(S)
Hume, Lynn
PUB. DATE
March 2006
SOURCE
Bond Buyer;3/24/2006, Vol. 355 Issue 32346, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports on the U.S. National Association of Securities Dealers' (NASD) plans to continue running after municipal securities trade reporting abuses and to expand its focus to excessive markups and abusive solicitation practices. James S. Shorris, NASD new head for enforcement, states that the organization is not going to back away from taking enforcement action, despite some complaints from broker-dealers that the self-regulatory organization has been heavy-handed.
ACCESSION #
20302896

 

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