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Legal Risk Management Tips

2012 SEC Enforcement Cases – A Year in Review

December 31, 2012

2012 SEC Enforcement Cases – A Year in Review

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Social Media Sites Making Compliance Easier for Users

December 29, 2012

Social Media Sites Making Compliance Easier for Users

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Regulators Continue Focusing on Anti-Money Laundering Violations

December 19, 2012

Regulators Continue Focusing on Anti-Money Laundering Violations

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FINRA Seeking Further Disclosure & Promotion of “BrokerCheck” Program

December 7, 2012

FINRA Seeking Further Disclosure & Promotion of “BrokerCheck” Program

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Blog Update: Foreign Exchange Swaps and Foreign Exchange Forwards Will Not be Included in Swap Definition

November 29, 2012

Blog Update Foreign Exchange Swaps and Foreign Exchange Forwards Will Not be Included in Swap Definition

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California Department of Corporations Announces Proposed Changes to Investment Adviser Custody Rule

November 20, 2012

California Department of Corporations Announces Proposed Changes to Investment Adviser Custody Rule

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