RRBDLAW.com: New NASD Cases

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Jul 19, 2006 11:53 am
http://www.rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/index.htm
 
Veteran regulatory lawyer Bill Singer's monthly analysis of key NASD Enforcement cases for July is now online.  Read about the growing focus on electronic communications --- firms are charged with instant messaging, handheld device, and email violations.  Also, see the ongoing crackdown on research report fraud and improper registration of individuals.
 
http://www.rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/index.htm