FINRA Fines Credit Suisse Securities $1.75 Million for Regulation SHO Violations and Supervisory Failures – Newsblaze.com

December 27, 2011 Posted By: Leave a comment
FINRA found that Credit Suisse's supervisory framework over its equities trading business was not reasonably designed to achieve compliance with the requirements of Reg SHO and other securities laws, rules and regulations throughout the period ...
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