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This Week's Stories
Issue Date: January 30, 2012
SEC Commissioners drop key case on compliance and supervision
Tips to thwart thieves who compromise e-mail accounts offered up
FBI provides details on new asset diversion scam that uses e-mails
Firm avoided FINRA arbitration to settle disputes over retention bonuses
Enforcement Alert: Another 'downstream' firm found culpable in ARS controversy
You're obligated to hand FINRA examiners your SARs if requested
State regulator issues guidance on adviser use of social media
Citigroup fined $725,000 over failure to disclose conflicts in research reports
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