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Fragmented Dealing Under Fire

Traders Magazine, April 2000

Peter Chapman

The Securities and Exchange Commission is taking a critical look at a fundamental practice in the dealer market.

Filling customer orders out of inventory rather than exposing themto the broader marketplace is the focus of a 30-page concept release on market structure published by the agency in February. The regulator is trying to determine whether the fragmented nature of over-the-counter trading leads to poor fills for investors.

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