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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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