WASHINGTON - An industry group has asked regulators to disclose the factors they will use to determine which muni broker-dealers pose more risks and should undergo compliance examinations more often under a new proposed exam program.
SIFMA Wants Specifics on Compliance Exam Factors
NOV 23, 2011 5:46pm ET
October 8-10, 2014Manchester Grand Hyatt, San Diego, CA
October 26-28, 2014Crowne Plaza Times Square, New York, NY
November 16-18, 2014Westin Arlington Gateway, Arlington, VA