NASD Exempts Four Firms From G-37's Temporary Ban

Hume, Lynn
January 2003
Bond Buyer;1/28/2003, Vol. 343 Issue 31561, p6
Trade Publication
Reports that the National Association of Securities Dealers (NASD) has exempted four securities firms from the G-37's temporary ban on business after officials at those firms made contributions to issuer officials. Cases in which firm's officials were not involved; Reason for the exemptions given by NASD; Points noted by NASD in a survey.


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