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: Securities Law Prof Blog

SEC Fines Specialist Firms for Unlawful Proprietary Trading

By Securites Lawprof

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The SEC brought enforcement actions against 14 specialist firms for unlawful proprietary trading on several regional and options exchanges. The firms agreed to settle the SEC's charges by collectively paying nearly $70 million in disgorgement and penalties. According to the...

Full post as published by Securities Law Prof Blog on March 04, 2009 (boomark / email).

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