TITLE

SEC Division Blasts Ruling By Law Judge

AUTHOR(S)
Hume, Lynn
PUB. DATE
May 2002
SOURCE
Bond Buyer;5/21/2002, Vol. 340 Issue 31391, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the requests of the Securities and Exchange Commission (SEC) to the members to review the ruling on the municipal securities markup case in Washington. Absence of providing guidance to the brokerage community; Assessment of the petition file by the SEC; Failure of violating the federal securities fraud laws.
ACCESSION #
6847015

 

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