TITLE

SEC says it will head bank probes on securities issues

AUTHOR(S)
Reynolds, Katherine M.
PUB. DATE
October 1997
SOURCE
Bond Buyer;10/14/97, Vol. 322 Issue 30251, p4
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the investigations initiated by the US Securities & Exchange Commission (SEC) on securities processing issues affecting banks in the country. Probe targeting companies that are most likely to present market risks or fraud opportunities; Practices criticized by the SEC in the banks' broker-dealer subsidiaries.
ACCESSION #
9710185328

 

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