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This Week's Stories
Issue Date: August 11, 2008
South Dakota measure could disrupt national broker-dealers, official says

Citigroup settlement in principle sets 90 days to repay retail customers

FINRA investigations on auction rate securities still underway

States may intervene in arbitration cases over expungement, court rules

Computerized complaint and disclosure reporting changing due to merger

Exam focused on VA exchanges

Former rep accused of using blank documents to defraud customers

FinCEN plans to retire BSA Magnetic Media Program



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