Adding Insult to Injury: Regulatory Enforcement Following Broker-Dealer Operational Failures
Securities Markets

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Insights, The Corporate & Securities Law Advisor, Vol. 29, No. 11, November 2015

Regulators are increasingly bringing enforcement actions against broker-dealers, and seeking ever higher penalties, for regulatory violations stemming from operational failures. Themes in reported cases point to several recurring situations where firms have encountered issues, including mergers and software upgrades.

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