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This Week's Stories
Issue Date: February 06, 2012
Exam priorities letter focuses on suitability for complex products
Dismissal of case denies bright-line on when compliance acting as supervisor
Enforcement Alert: Settlement sends message to firms about overloading part-time CCOs
Legal battle erupts over FINRA arbitration agreements
Enforcement heats up regarding residential mortgage-backed securities
Firm pays more than $1 million in settlement over supervisory failures
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