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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Joshua Horn ordered by Published Date Descending.
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Expunge Me, No Expunge You
FINRA put into place the prohibition of making a settlement contingent upon a registered representative having the subject arbitration expunged from the representative's U-4.
United States
4 Aug 2014
2
So Just How Fast Is Too Fast
SEC Chair Mary Jo White recently announced a broad program to get high frequency trading under control.
United States
11 Jun 2014
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