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…
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Qué ocurrió
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…
Por que importa
The decision may change compliance obligations, market access or operating costs for Regulation.
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- U.S. Securities and Exchange CommissionFuente primaria · Respalda · EN · 100%Municipal Securities Underwriters Pay a Total of $325,000 in Fines ↗
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- Municipal Securities Underwriters Pay a Total of $325,000 in Fines Observado
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