New NASD compliance approach alerts firms to possible shortcomings

Hume, Lynn Stevens
November 1997
Bond Buyer;11/24/97, Vol. 322 Issue 30279, p1
Trade Publication
Reports on the compliance program to be launched by National Association of Securities Dealers in 1998 which is aimed at preventing oversights and abuses by securities dealers. Examination of whether dealers are complying with Municipal Securities Rulemaking Board rules as a part of the program; Suitability and pricing as two key areas of focus in 1998.


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