3See Christopher C. Geczy.Jinghua Yan. Who are the Beneficiaries When Insider Trade? An Examination of Piggybacking in the Brokerage Industry [ J ]. EFA 2005 Moscow Meetings AFA 2007 Chicago Meeting Paper, March 15, 2006.
4See Christopher M. Gorman. ARE CHINESE WALLS THE BEST SOLUTION TO THE PROB- LEMS OF INSIDER TRADING AND CONFLICTS OF INTEREST IN BROKER-DEALERS? [ M]. 9 Fordham J. corp. & Fin. L. 475.
5See IOSCO,Ibid. p. 8.
6《相关证券交易法规汇编》No.34-1548(1938年2月8日).
7See Amendments to Regulation SHO , supra note 34,pp. 13-14.
8See Amendments to Regulation SHO, Ibid, p. 89.
9517 F.2d 398.
10See Chasins v. Smith, Barney & CO. United States Court of Appeals, Second Circuit, 1970. 438 F. 2d 1167.