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- Three Individuals Fined and Banned From Trading on CME Group Exchanges for Market Conduct Violations
- SEC Chief of Staff Says Agency Is Not Out to Sue Compliance Officers, But Will Bring Legal Actions When Appropriate
- Broker-Dealer Settles With SEC Over Alleged Non-Disclosure Related to Structured Notes Based on Foreign Exchange Trading
- IB Employee Ordered to Make Full Restitution and Pay a Fine for Unauthorized Trading Activity
- NFA Revises Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs
New York
