TITLE

NASD Decisions on Rule G-37 Exempt One Firm, Refuse Another

AUTHOR(S)
Hume, Lynn
PUB. DATE
May 2002
SOURCE
Bond Buyer;5/24/2002, Vol. 340 Issue 31394, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the refusal of the National Association of Securities Dealers to exempt A.G. Edwards & Sons Inc. from MSRB Rule G-37 in Washington. Condition prohibiting a municipal dealer from doing business with an issuer; Consequence for violating the internal procedures for complying with the rule; Basis for the refusal to grant an exemption.
ACCESSION #
6782809

 

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