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SEC: 21 Municipal Securities Underwriters Fined a Total of $325,000 for Violating MSRB Rule G-36
The Securities and Exchange Commission announced today that NASD Regulation Inc. censured and fined 21 securities firms a total of $325,000 for violating Rule G-36 of the Municipal Securities Rulemaking Board. Concurrently, the Comptroller of the Currency also sanctioned related parties.
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Source：SEC新闻稿 · Source Link
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