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Massachusetts Securities Regulator Investigating Auction Rate Securities

According to Reuters, the Massachusetts Secretary of the Commonwealth is investigating the auction rate securities markets after reports that some closed-end funds were unable to sell their holdings. Bloomberg has reported recent refusals of broker-dealers to support sales have revealed the systematic problems inherent in a market lacking transparency.

SNSFE continues to investigate abuses in the auction rate markets.





   
 
 
 
 



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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm Shaheen, Novoselsky, Staat, Filipowski & Eccleston P.C.(www.snsfe-law.com). This Web site contains material of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice. Always consult an attorney and/or investment advisor when building and protecting your wealth.

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