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If he was convicted he would be subject to a statutory disqualification from becoming a registered representative. To become registered the sponsoring firm would be required to submit an application requesting adjucation and a hearing would be held on the matter. If he wasn't convicted, he...

As someone who works in custody covering a moderate sized retail fund group, I thought I could add to this topic. It is actually quite rare for institutional traders to trade a position throughout the day, either entering or exiting. Most of the trading is early and late in the day when the...