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"Nevertheless, the CAT lives on, so I support granting additional time to resolve a number of implementation issues, which is what today’s order does"
Independent counsel's report found no evidence of an improper agreement to remove certain arbitrators from arbitration cases
NSC was charged with attempting to artificially influence the aftermarket in 10 offerings for which it served as underwriter
Last year, the SRO issued $90.1 million in fines, according to new report
The SEC claims the defendants failed to comply with both Reg BI's "Care Obligation" and "Compliance Obligation"
Thousands of instant messages sent and received through reps' cell phones not captured, reviewed, retained
FINRA calling out the recent blossoming of multiple cases involving books and records violations, an exam focus
Temporary hold and trusted contact provisions seen as "critical tools in the fight against elder financial abuse"
System "often failed" to correctly identify and implement purchase limits on Class C shares when lower cost A shares available
'Uneven field,' Chairman says, but stops short of calling for ban of payment-for-order flow