TITLE

SEC Watches Dealers and Rule 15c2-12

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2001
SOURCE
Bond Buyer;10/24/2001, Vol. 338 Issue 31250, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Focuses on efforts of the U.S. Securities and Exchange Commission (SEC) to urge municipal securities dealers to help keep issuers in compliance with secondary market disclosure obligations. Comments of chief of SEC's office of municipal securities regarding dealer compliance issues; Provisions of the SEC rule for dealers; Need for issuers to disclose any instance that reveals their failure to meet compliance to SEC rule.
ACCESSION #
7369997

 

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