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Academic

: Securities Law Prof Blog

Broker-Dealer Settles Charges It Intervened in ARS Auctions

By Securites Lawprof

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The SEC settled administrative proceedings against broker-dealer First Southwest Co., which, as part of its broker-dealer business, underwrote and managed a limited number of auctions for auction rate securities. The SEC alleged that the firm had, without adequate disclosure, intervened...

Full post as published by Securities Law Prof Blog on May 27, 2008 (boomark / email).

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