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Negligence › Electronic Blue Sheets

Burr & Forman

FINRA Fines & AWC’S for Blue-Sheet Violations on Which SEC Sought Admissions

Burr & Forman on

I wrote earlier that the SEC was wrong to extend its “admission of wrongdoing” policy (once reserved for extreme cases) to negligent software-glitch misreporting of trade-data in the Scottrade case...more

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