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Strategies & Market Trends : Angels of Alchemy -- Ignore unavailable to you. Want to Upgrade?

To: amadeus who wrote (16393)	10/10/2000 3:26:17 AM
From: LPS5	Read Replies (2) \| Respond to 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