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  • CME Group Reminds Members of Regulatory Requirements for EFRPs and Block Trades Through Disciplinary Actions
  • FINRA Sanctions Broker-Dealer for Failing Adequately to Monitor Red Flags Regarding Suspicious Trading Activity
  • Broker-Dealer Fined by SEC for Acting in Dual, Conflicting Roles in Connection With CDO Liquidations
  • FCA Discusses Good and Bad Practices Asset Managers Follow to Control Risks of Insider Trading
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