Sample Compliance Manual for Investment Banking Firms as required by NASD Rules

From: Doks, Vija (DoksV@Coudert.com)
Date: Mon Jun 05 2000 - 14:15:41 PDT

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We are looking for a sample Compliance Manual or Supervisory Procedures that
investment banking firms are required to have under NASD rules. If you have
seen such an animal, I would like to hear from you. TIA

Vija Doks
Coudert Brothers
212-626-4796
212-626-4120 - fax
doksv@coudert.com

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