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Browse: Home / 2014 / January / 05 / Securities Docket News Wire for January 4, 2014

Securities Docket News Wire for January 4, 2014

By Securities Docket on January 5, 2014, 8:55 am

  • Finra to Crack Down on Brokers With High Number of Complaints – http://t.co/3FIcAv7ZoP http://t.co/PmU0P5lWR9 ->
  • Securities Docket News Wire for January 3, 2014 http://t.co/2VSCRRdD61 ->
  • With Crisis Behind Him, S.E.C.’s Co-Chief of Enforcement Is Leaving – http://t.co/qsTYnLRDfm http://t.co/KZG0mx6okG ->
  • SEC Financial-Reporting Enforcment Cases Will Rise in 2014 — http://t.co/C6P9xIsZ1i http://t.co/pWtTMcwWPi ->
  • SEC’s Mary Jo White wants companies to fess up – http://t.co/LHh7tLnUWi http://t.co/LVpKFq7TJm ->
  • Sleaze in the Cinema: The Wolf at the compliance officer’s door – The FCPA Blog http://t.co/RniqvMzMt8 ->
  • Regulator of Wall Street Loses Its Hard-Charging Chairman – http://t.co/HeZK5dmn68 http://t.co/KmmPOOtokQ ->
  • JPMorgan Broker Barred for Role in Insider Trading Scheme – http://t.co/3FIcAv7ZoP http://t.co/lLzZqMR1md ->
  • SEC’s Revolving Door To Turn A Little Slower – http://t.co/klajFkL2um http://t.co/KpXiVAJ7NR ->

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