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Rating:Alliance: NASD Settlement is Imminent Not Rated 0.0 Email Routing List Email & Route  Print Print
Tuesday, March 15, 2005

Alliance: NASD Settlement is Imminent

by: Theresa Sim

Officials at Alliance Capital Management are in negotiations with regulators from the NASD. The fund firm executives believe a settlement is imminent, and in anticipation of a final deal, recorded a $5 million charge against 2004 earnings.

The settlement concerns directed brokerage, sales and disclosure practices within the distribution group at Alliance Capital, according to the release.

Alliance stated that the negotiations began on March 11.  

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