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Naked Shorting Under Scrutiny

Traders Magazine, November 2008

Peter Chapman

Regulators are clamping down on broker-dealers that violate naked short-sale rules. Both New York Stock Exchange Regulation and the Financial Industry Regulatory Authority are making it a point to closely scrutinize brokers' stock-loan practices. If they find brokers are not complying with rules targeting failures to deliver, they are penalizing them.

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