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State Street Research Investment Services

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February 20, 2004 | From Associated Press
Regulators have fined State Street Research Investment Services $1 million for allegedly failing to prevent trading abuses in mutual funds by some customers of Prudential Securities, under a settlement announced Thursday. The National Assn. of Securities Dealers, the brokerage industry's self-policing arm, said State Street Research's "inadequate supervisory systems" allowed the favored customers to improperly engage in market timing of its fund shares.
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BUSINESS
February 20, 2004 | From Associated Press
Regulators have fined State Street Research Investment Services $1 million for allegedly failing to prevent trading abuses in mutual funds by some customers of Prudential Securities, under a settlement announced Thursday. The National Assn. of Securities Dealers, the brokerage industry's self-policing arm, said State Street Research's "inadequate supervisory systems" allowed the favored customers to improperly engage in market timing of its fund shares.
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