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Determining Scope of Responsibility for Securities Market Interme

Determining Scope of Responsibility for Securities Market Interme
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

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Reg BI enforcement heats up with $2.2M TIAA fine

Reg BI enforcement heats up with $2.2M TIAA fine
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

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I-91 northbound reopened after rollover crash in Rocky Hill; Serious injuries reported

I-91 northbound reopened after rollover crash in Rocky Hill; Serious injuries reported
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SEC orders B-D, two reps to pay $1 million for Reg BI violations

A brokerage and two of its registered reps agreed to pay the SEC a little more than $1 million for Reg BI violations. ....

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SEC dings Laidlaw and Company over Reg BI lapses

SEC dings Laidlaw and Company over Reg BI lapses
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