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  • FINRA Seeks to Identify How Some Members Implement Cultural Values
  • Former Broker-Dealer CEO Sentenced to Six Months Imprisonment for Creating False Documents for SEC Production
  • No Home Court Advantage in Administrative Proceedings Says SEC Inspector General
  • CFTC Provides Reporting Relief to Trade Option Users
  • Research Analyst Fined by SEC for Falsely Rating Client to Keep Relationship
  • Singapore Exchange Consults on Adopting Principles-Based Not Prescriptive Pre-Trade Risk Control Requirements
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