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Wall Street… Compliance… Profits…. Could better analytics help?
Yesterday, the WSJ reported that the SEC is looking into Merrill Lynch’s trading activity for potential front-running violations. To quote the article The trading probe is a broad look at the...
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FINRA fined BD’s for advertised trade violations
// Rant on FINRA announced this week that 19 firms were being fined a total of $2.8 million for inaccurate advertising of trade volumes. So what were these firms doing? As a matter of background,...
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