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  1. James Langton
    In-depth knowledge of securities law and regulatory policy essential for Securities Advisory Committee membership
  2. IE Staff
    Unregistered firm agrees to pay $180,000 penalty
  3. IE Staff
    Upcoming regulatory deadlines of interest to financial advisors. Updated weekly.
  4. James Langton
    Tests will look at three different scenarios
  5. IE Staff
    Section serves as a repository of information on mutual fund investing
  6. IE Staff
    After five years trends start to emerge
  7. James Langton
    Draft rules on reporting requirements for European banks published
  8. James Langton
    Industry gives rule a mixed review
  9. James Langton
    Dealers to fund MFDA IPC payouts to clients of insolvent W.H. Stuart
  10. James Langton
    SEC says staff need more time to develop a plan for returning funds to investors