3 Firms to Comply With Calif. Code of Conduct
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From Associated Press
Three Wall Street firms that have failed to adopt a new code of conduct aimed at preventing fraud and abuse are expected to be in compliance by the end of the month, a spokesman for California Treasurer Phil Angelides said Wednesday.
Although 41 companies agreed to the conduct code, the three firms -- CIBC World Markets Corp., Edward Jones and Wedbush Morgan Securities -- were identified Tuesday by Angelides as noncompliant.
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