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: Securities Law Prof Blog

SEC Chair Warns CEOS of Broker Dealer Firms of Supervisory Responsibilities

By Securites Lawprof

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SEC Chair Mary Schapiro released an open letter to the CEOs of broker-dealer firms warning that compensation arrangements could provide improper incentives for registered representatives to engage in abusive sales conduct and reminding them of the firms' supervisory responsibilities. Here...

Full post as published by Securities Law Prof Blog on September 01, 2009 (boomark / email).

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