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This Week's Stories
Issue Date: July 06, 2009
Variable annuities case spotlights level of help for compliance/supervision

VP/CCO explains how he got firm to add to compliance staff last December

Munis come under FINRA microscope

Recording how you conduct searches is among slew of tips for handling exams

SEC advances FINRA proposal on forex leverage ratio

Group forms to persuade Congress to mandate 'authentic' fiduciary standard



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