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The Securities and Exchange Commission today announced that Daniel R. Gregus, Director of the Chicago Regional Office, will leave the agency at the end of…
Securities and Exchange Commission filed an enforcement action alleging violations of Regulation Best Interest, charging GWG Inc.Reg BI,prohibits brokers from placing their own financial interest ahead of their retail customers when making investment recommendations.
<p><span>The Securities and Exchange Commission today announced that Fixed Income Clearing Corporation (FICC), a clearing agency, has agreed to pay an $8 million penalty to settle SEC charges that it failed to have adequate risk management policies within its Government Securities Division. </span></p>