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Strategies & Market Trends : Angels of Alchemy
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To: amadeus who wrote (16393)10/10/2000 3:26:17 AM
From: LPS5  Read Replies (2) of 24256
 
LOL, amadeus. Where, in the description of wrongdoing, do you see anything about naked short selling by dealing firms?

The SEC found that the firms had engaged primarily in one or
more of the following types of violations: (a) the coordination
of quotations and transactions by traders making markets in
Nasdaq stocks in violation of antifraud and fictitious quotation
rules, (b) the intentional delay of trade reports, (c) other
manipulative activity, (d) failure to honor quoted prices, (e)
failure to provide customer orders with best execution, (f)
trading as principal with advisory clients or discretionary
customers without disclosure and consent, (g) failure to comply
with the books and records requirements, and (h) failure to
supervise.

LPS5
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