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: Securities Law Prof Blog

Two NYSE Specialists Settle Illegal Trading Practices Proceedings

By Securites Lawprof

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Two NYSE specialists settled SEC administrative proceedings charging them with illegal trading practices (interpositioning and trading ahead) from 1999 through June 30, 2003. In one proceeding, the specialist was barred from the industry and agreed to pay a $100,000 civil...

Full post as published by Securities Law Prof Blog on July 16, 2008 (boomark / email).

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