To read the Digest online, click here.
This week's issue addresses the following topics:
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FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers
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SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments
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District Court Grants Preliminary Approval of Settlement in Merger Case
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US Court of Appeals for the Eleventh Circuit Upholds Fraud Penalties for Ex-GlobeTel Executives
Chicago
