RRBDLAW: New NYSE/NASD Cases

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Sep 16, 2005 6:31 am

The NASD and NYSE have just released some new disciplinary cases and all RRs would be well advised to read them.  A number of very dramatic matters involving suspensions of FINOPs, the use of anonymous postings on regulators' websites, U4 issues, outside business activities, and failure to timely report customer complaints.


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