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

Hume, Lynn Stevens
November 1997
Bond Buyer;11/03/97, Vol. 322 Issue 30265, p1
Trade Publication
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.


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