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 MEMBERSHIP IN NATIONAL SECURITIES ASSOCIATION. Show all posts
Showing posts with label MEMBERSHIP IN NATIONAL SECURITIES ASSOCIATION. Show all posts
Saturday, March 28, 2015

SEC PROPOSED RULE SEEKS TO ENHANCE OVERSIGHT OF PROPRIETARY FIRMS LIKE HIGH FREQUENCY TRADERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members ...
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