Municipal Securities Underwriters Pay a Total of $325,000 in Fines
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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…
Summary assembled by rule from the sources below
Why it's spreading
Sources
Official
- Municipal Securities Underwriters Pay a Total of $325,000 in FinesSEC Press Releases