TITLE

22 firms fined $325,000 for violating G-36, G-8

AUTHOR(S)
Hume, Lynn Stevens
PUB. DATE
December 1997
SOURCE
Bond Buyer;12/17/97, Vol. 322 Issue 30294, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
States that 21 securities firms and a bank divsion were fined $325,000, by the National Association of Security Dealers (NASD) and Office of the Comptroller of Currency (OCC) for violating MSRB rules G-36 and G-8. When were these sanctions announced; Comments from Securities and Exchange Commission .
ACCESSION #
4798

 

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