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: Securities Law Prof Blog

FINRA Issues Guidance on Unauthorized Proprietary Trading

By Securites Lawprof

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In the wake of several recent cases involving allegations of unauthorized or "rogue" trading resulting in substantial losses by firms both in the United States and abroad, many FINRA firms are undertaking comprehensive reviews of their internal controls and risk...

Full post as published by Securities Law Prof Blog on April 09, 2008 (boomark / email).

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