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

Hume, Lynn
May 2002
Bond Buyer;5/24/2002, Vol. 340 Issue 31394, p1
Trade Publication
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.


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