NASD Fines Firm, President for Muni, Stock Securities Violations

Hume, Lynn
February 2001
Bond Buyer;02/16/2001, Vol. 335 Issue 31079, p5
Trade Publication
Reports the imposition of fines to firms violating the membership agreement with the National Association of Securities Dealers (NASD) in Washington, D.C. Basis of the offense on the membership agreement with NASD regulatory arm; Firms fined for engaging in municipal securities-related violations; Disciplinary actions taken by NASD.


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