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: Securities Law Prof Blog

FINRA Officer's Senate Testimony on Stanford Oversight

By Securites Lawprof

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On August 17, 2009 Daniel M. Sibears, Executive Vice President, FINRA Market Regulation Programs, testified before the Senate Committee on Banking, Housing and Urban Affairs on FINRA's oversight over Stanford's broker-dealer operations. Mr. Sibears stated that the broker-dealer operations have...

Full post as published by Securities Law Prof Blog on August 17, 2009 (boomark / email).

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