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: Securities Law Prof Blog

FINRA Fines 3 Firms for OATS violations

By Securites Lawprof

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FINRA fined TradeStation Securities, Inc., E*Trade Securities, LLC and CIBC World Markets Corp. a total of $1.6 million for multi-year violations relating to FINRA's Order Audit Trail System (OATS) rules and related supervisory failures. Under the OATS rules, firms must...

Full post as published by Securities Law Prof Blog on May 15, 2008 (boomark / email).

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