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FINRA Fines Interactive Brokers $5.5 Million For Violations

By John Petrick ( August 20, 2018, 4:14 PM EDT) -- The Financial Industry Regulatory Authority has fined Connecticut-based Interactive Brokers LLC $5. 5 million for failing to require that short-sale shares be delivered or closed out within legally required time frames and for the supervisory failures that allowed those transgressions to occur, the agency announced on Monday. . . .

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