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 PRE-SET TRADING THRESHOLDS. Show all posts
Showing posts with label PRE-SET TRADING THRESHOLDS. 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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