Some muni firms fall short supervising their employees, SEC official says

Hume, Lynn Stevens
March 1998
Bond Buyer;03/03/98, Vol. 323 Issue 30342, p5
Trade Publication
Focuses on insider trading cases in the United States. Blaming of the investment banking firms' failure to enforce policies and procedures needed to prevent employees' violations of the federal securities laws; Role of the US Securities and Exchange Commission's enforcement division in the prevention of such violations.


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