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By Marlene Y. Satter, AdvisorOne |
July 5, 2012
In recent enforcement actions, an advisor on the lam who defrauded clients of nearly $40 million had his assets frozen by the SEC, and FINRA launched a pilot program for large arbitration cases.
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By Melanie Waddell, AdvisorOne |
May 9, 2012
Paul Schott Stevens, president and CEO of the ICI, pointed out two initiatives the ICI is fighting: the SEC’s further attempts to rein in money-market funds, and the CFTC’s amendments to a commodities rule.