American General Securities fined over US$1.1 million for directed brokerage violations
Shorris replaces Goldsmith
Call centre sales contests prohibited for three years
Diversified Investors fined US$1.3 million
Sanford Bernstein violated analyst conflict of interest rules
Projects aimed and making information more accessible to retail investors
Program designed to meet escalating demand for compliance professionals
NASD, NYSE working together to develop a consistent approach
Goldsmith leaving to return to private practice
Schapiro to succeed Glauber