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: Securities Law Prof Blog

Goldman Sachs Settles SEC Charges Relating to Short Sales

By Securites Lawprof

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The SEC and Goldman Sachs settled administrative charges alleging that Goldman Sachs Execution & Clearing LLC (GSEC) willfully violated Rule 204T of Regulation SHO by failing to deliver certain securities or immediately purchase or borrow securities to close out the...

Full post as published by Securities Law Prof Blog on May 04, 2010 (boomark / email).

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