SECURITIES INDUSTRY COMMENTATOR™
you've heard the news about Wall Street --- now learn what it really means

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REGULATORY CASES OF NOTE

NASD, INC.

2003 CASES OF NOTE

2002 CASES OF NOTE

NEW YORK STOCK EXCHANGE, INC.

2003 CASES OF NOTE

2002 CASES OF NOTE

STATUTORY DISQUALIFICATION DECISIONS

NASD PRIVATE SECURITIES TRANSACTIONS ACTIONS

NASD OUTSIDE BUSINESS ACTIVITIES ACTIONS

UNDISCLOSED CUSTOMER SETTLEMENTS

USING ANOTHER'S REGISTRATION

FORM U4/ U5 AND RE-3 ACTIONS

CONTINUING EDUCATION 

SHORT SELLING

RESEARCH

 

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SECURITIES INDUSTRY COMMENTATOR™©2002 Bill Singer 

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© 2002 BILL SINGER