TITLE

NASD: Inaccurate Trade Data a Top Small-Firm Violation

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2002
SOURCE
Bond Buyer;10/24/2002, Vol. 342 Issue 31498, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on violations of small firms uncovered by the U.S. National Association of Securities Dealers (NASD). Most common error in municipal trade reports submitted by small firms; Plans of NASD to hold a telephone workshop with member firms on compliance with the U.S. Municipal Securities Rulemaking Board's (MSRB) transaction reporting program; Establishment of a Dealer Feedback System by MSRB.
ACCESSION #
8628349

 

Related Articles

  • NASD could launch enforcement action over late trade data. Hume, Lynn Stevens // Bond Buyer;10/26/98, Vol. 326 Issue 30507, p1 

    Reports that the National Association of Securities Dealers is likely to begin bringing enforcement action in 1999 over late trade data. Timely and accurate trade data under the Municipal Securities Rulemaking Board's transaction-reporting program; Additional examination of whether firms are...

  • NASD Sending Lateness Warnings to 90 Firms. Hume, Lynn // Bond Buyer;10/27/2000, Vol. 334 Issue 31005, p3 

    Reports that the National Association of Securities Dealers will send letters to 90 firms warning them of late in filing trade data with the Municipal Securities Rulemaking Board.

  • Bond-Processing Meeting Held As NASD's TRACE Draws Fire. Hume, Lynn // Bond Buyer;03/01/2000, Vol. 331 Issue 30839, p1 

    Reports on the Municipal Securities Rulemaking Board's meeting with regulatory and industry officials to tackle the issue of developing a bond-processing system for the fixed-income market. Proposal by the National Association of Securities Dealers of a real-time price-transparency program for...

  • Rethinking Rule G-37. Hume, Lynn // Bond Buyer;06/15/2000, Vol. 332 Issue 30913, p1 

    Focuses on a National Association of Securities Dealers council's assessment of the Municipal Securities Rulemaking Board's interpretation of Rule G-37's two year look-back provision in the United States. Failure of the National Adjudicatory Council to waive G-37's two-year ban on municipal...

  • NASD raises censure threshold for not filing G-37, G-38 forms. Hume, Lynn // Bond Buyer;07/14/99, Vol. 329 Issue 30682, p5 

    Reports on National Association of Securities Dealers' approval of a policy that will no longer censure stockbrokers in the United States for violating Municipal Securities Rulemaking Board Rules G-37 and G-38 by failing to file quarterly forms on political contributions. Background on the G-37...

  • Bigger Fines For MSRB Violations. Hume, Lynn // Bond Buyer;3/10/2006, Vol. 355 Issue 32336, p1 

    The article reports that the National Association of Securities Dealers in the United States is considering imposing bigger fines and tighter sanctions for dealers who violate Municipal Securities Rulemaking Board rules. The rules cover trade reporting and execution, political contribution and...

  • NASD Site Offers Compliance Checklist For Firms Selling Muni Fund Securities. Hume, Lynn // Bond Buyer;12/20/2002, Vol. 342 Issue 31537, p5 

    Reports that the U.S. National Association of Securities Dealers has posted on its web site a checklist of Municipal Securities Rulemaking Board rules for firms that sell municipal fund securities for college saving programs. Information contained in web site pertaining to municipal fund...

  • Surveillance program. Hume, Lynn // Bond Buyer;03/14/2000, Vol. 331 Issue 30848, p1 

    Reports that the National Association of Securities Dealers (NASD) is developing a surveillance program to target potentially abusive municipal bond pricing and practices in the United States, by relying on data that dealers send to the Municipal Securities Rulemaking Board. Goals aimed to be...

  • Sending the G-23 Evidence. Hume, Lynn // Bond Buyer;10/12/2005, Vol. 354 Issue 32236, p1 

    Reports on the plan of the National Association of Independent Public Finance Advisors (NAIPFA) to send the U.S. Municipal Securities Rulemaking Board and the National Association of Securities Dealers evidence showing that dealers in some parts of the country are violating the board's Rule...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sign out of this library

Other Topics