TITLE

NASD to make compliance with MSRB rules a top exam priority

AUTHOR(S)
Hume, Lynn Stevens
PUB. DATE
November 1997
SOURCE
Bond Buyer;11/10/97, Vol. 322 Issue 30270, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Cites the top priorities of the US National Association of Securities Dealers' (NASD) examination program in 1997 and 1998. List of rules to be monitored; Frequency of securities examinations; Role of the Securities and Exchange Commission (SEC) on the NASD examination. INSET: Firms' top fibs on G-36 exams...
ACCESSION #
9711261698

 

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