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Compliance & RegulationBreaking NewsNYSE Fines Firms for Trade-Ahead Audit Trail ViolationsMay 8, 2008 - NYSE Regulation has fined a handful of Wall Streets largest firms for not providing data about orders sent to the New York Stock Exchange floor. Senate Committee Tells SEC to Ramp Up Supervision of Investment BanksMay 7, 2008 - Senate Banking Committee member Charles Schumer says that a stronger, more unified regulator is needed to police investment banks. SEC Official Offers Preview of Rule 12b-1 OverhaulApril 23, 2008 - An official in the agencys division of investment management has provided a preview of the forthcoming reform package. Featured ArticleShakeup at Division of Trading and MarketsThe Securities and Exchange Commission's division of trading and markets is undergoing a major reorganization that will shift the responsibilities of top officers. |
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