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Academic

: Securities Law Prof Blog

More on Short-Selling

By Securites Lawprof

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The SEC's Division of Markets and Trading, along with FINRA and NYSER, issued ?Tips? for Broker-Dealers on Avoiding Failures to Deliver Securities and reminded them of their responsibilities to maintain adequate surveillances and written supervisory procedures to detect manipulative short...

Full post as published by Securities Law Prof Blog on September 18, 2008 (boomark / email).

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