TITLE

Five Big Firms Settle With SEC Over E-Mail Lapses

AUTHOR(S)
Hume, Lynn
PUB. DATE
December 2002
SOURCE
Bond Buyer;12/4/2002, Vol. 342 Issue 31525, p7
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports that five major broker-dealer companies have agreed to pay a total of $8.25 million to settle charges of violation of security rules and laws with the U.S. Securities and Exchange Commission, National Association of Securities Dealers and New York Stock Exchange. Names of the companies; Provisions of the law to preserve electronic communication; Companies' opinion regarding the settlement.
ACCESSION #
8864824

 

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