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: Securities Law Prof Blog

FINRA Fines Citigroup Because of Stock Borrow Program Violations

By Securites Lawprof

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In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct...

Full post as published by Securities Law Prof Blog on April 06, 2010 (boomark / email).

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