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This Week's Stories
Issue Date: September 08, 2008
Two charged with misleading clients in $1 billIon ARS case
Hurricane season calls attention to need to assure BCP covers the bases
FINRA penalizes 3 brokers over sales of collateralized mortgage obligations
Election set to fill vacant FINRA seat
SEC plan to lessen references to credit ratings draws fire
MSRB clarifies reporting requirements in connection with buybacks of ARS
SEC hears earful on recent emergency order targeting naked short selling
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