Market Abuse Unit

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  CBOE to Pay $6M Fine to SEC Over Regulatory ‘Breakdowns’

  By Melanie Waddell, AdvisorOne  |  June 11, 2013

  The CBOE was charged with various violations, including a “failure to enforce or even fully comprehend” rules to prevent abusive short selling.

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  Nasdaq to Pay SEC $10M Over Botched Facebook IPO

  By Melanie Waddell, AdvisorOne  |  May 29, 2013

  The SEC on Wednesday charged Nasdaq with violations resulting from “poor systems and decision-making” during the IPO and secondary trading of Facebook shares.

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  Trader Caught in Apple Stock Scam

  By Melanie Waddell, AdvisorOne  |  April 15, 2013

  The SEC on Monday charged a former employee at a Connecticut-based brokerage firm with placing unauthorized orders to buy nearly $1 billion in Apple stock, ultimately causing the firm to cease operations.

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  U.S. Charges SAC Capital Unit in $276 Million Insider Trading Scheme

  By Melanie Waddell, AdvisorOne  |  November 20, 2012

  The SEC, in its largest insider trading case ever, and the Department of Justice charged hedge fund advisory firm CR Intrinsic Investors, which is a unit of SAC Capital, its former portfolio manager and a medical consultant with insider trading.

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  SEC Brings More Insider Trading Actions in Galleon Case

  By Melanie Waddell, AdvisorOne  |  October 29, 2012

  The SEC says that it has now charged 32 defendants in its Galleon-related enforcement actions.