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: Securities Law Prof Blog

FINRA's Interim CEO Testifies on Madoff

By Securites Lawprof

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Stephen Luparello, Finra's Interim CEO, also testified at the Senate hearing on the Madoff scandal. In his remarks, he emphasized that Finra only regulated Madoff's broker-dealer firm and has no regulatory authority over investment advisors. He also stated they received...

Full post as published by Securities Law Prof Blog on January 27, 2009 (boomark / email).

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