RRBDLAW.com: New NASD Cases

Jul 19, 2006 3:53 pm
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