Tag: nasd_regulation_inc
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SEC: 21 Municipal Securities Underwriters Fined $325,000 Total
NASD Regulation censured and fined 21 securities firms for violating Municipal Securities Rulemaking Board Rule G-36, with the Comptroller of the Currency also sanctioning firms.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionNASD Regulation Inc.Municipal Securities Rulemaking BoardRule G-36Comptroller of the Currencymunicipal securitiesfines