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This Week's Stories
Issue Date: September 06, 2010
Proposed expansion in FOCUS report info meets strong industry resistance

AML case shows need for thorough customer identification program

Enforcement Alert : FINRA action demonstrates need to secure research analysts' attestations

Corruption leads as most prevalent fraud over past two years, study finds

Industry sees FINRA's latest OBA proposal as over-reaching

Upcoming FINRA rule changes



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