WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label EXPLOITING MARKET ACCESS. Show all posts
Showing posts with label EXPLOITING MARKET ACCESS. Show all posts
Friday, December 12, 2014

MORGAN STANLEY TO PAY $4 MILLION FOR VIOLATING MARKET ACCESS RULE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The market access rule requires broker-dealers to have adequate risk controls in place be...
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