TITLE

Dealers warned by SEC official: Don't mislead to get business

AUTHOR(S)
Hume, Lynn Stevens
PUB. DATE
November 1997
SOURCE
Bond Buyer;11/03/97, Vol. 322 Issue 30265, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports the warning given by the US Securities and Exchange Commission to the broker-dealers in the country on making misleading or false material statement in order to obtain municipal securities business. Implication of the enforcement actions against Smith Barney Inc.; Cases about making misleading or false material statement.
ACCESSION #
9711094751

 

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