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UBS Pays Record $14 Million Fine For Dark Pool Violations

The Securities and Exchange Commission has charged a subsidiary of UBS with disclosure failures and other securities law violations related to the operation and marketing of its dark pool.

Traders Magazine Online News, January 15, 2015

John D'Antona Jr.

The Securities and Exchange Commission has charged a subsidiary of UBS with disclosure failures and other securities law violations related to the operation and marketing of its dark pool.

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