SEC, NASD work together in municipal enforcement arena

Hume, Lynn Stevens
November 1997
Bond Buyer;11/17/97, Vol. 322 Issue 30274, p4
Trade Publication
Highlights the panel discussion held during the National Association of Securities Dealers' fall securities conference in Phoenix, Arizona detailing the NASD's and the Securities and Exchange Commission's (SEC) joint efforts in municipal securities enforcement. Willingness of both agencies to refer matters to each other; Similar and separate probes made in noncompliance and fraud cases.


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