-+ 0.00%
-+ 0.00%
-+ 0.00%

Municipal Securities Underwriters Pay a Total of $325,000 in Fines

Barchart·09/10/2026 21:56:06
Listen to the news
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…