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: Securities Law Prof Blog

Two New York Firms Settle SEC Charges Involving Failure to Protect Non-Public Information

By Securites Lawprof

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The SEC settled charges that two affiliated New York-based firms and their former chief compliance officer failed to have adequate policies and procedures to prevent misuse of nonpublic information. One of the firms - investment adviser Buckingham Capital Management Inc....

Full post as published by Securities Law Prof Blog on November 17, 2010 (boomark / email).

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