Municipal Securities Underwriters Pay a Total of $325,000 in Fines
The Securitiesand Exchange Commission announced today that NASD RegulationInc. censured and fined 21 securities firms for violationsof Rule G-36 of the Municipal Securities Rulemaking Board.At the same time, the Comptroller of the Currency sanctioneda…
What happened
The Securitiesand Exchange Commission announced today that NASD RegulationInc. censured and fined 21 securities firms for violationsof Rule G-36 of the Municipal Securities Rulemaking Board.At the same time, the Comptroller of the Currency sanctioneda…
Why it matters
The decision may change compliance obligations, market access or operating costs for Regulation.
Affected entities
View evidence
1 reports · 1 original report · 1 independent
- U.S. Securities and Exchange CommissionPrimary source · Supports · EN · 100%Municipal Securities Underwriters Pay a Total of $325,000 in Fines ↗
Claims
- Municipal Securities Underwriters Pay a Total of $325,000 in Fines Observed
Conflicts
No material conflict detected in the available evidence.
Timeline
- First reported
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