Compliance/Fraud

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Oppenheimer To Pay Fine For Lax Supervision Of Broadway Scam Broker

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Wall Street's watchdog fined Oppenheimer & Co $3.75 million for failing to supervise a former broker now serving a prison sentence for defrauding producers of "Rebecca -- The Musical."

BlackRock Urges Stress Tests Of Mutual Funds In Query

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BlackRock endorsed stress tests of mutual funds and reiterated its view that individual asset managers don’t pose a risk to the financial system.

Former Broker Indicted For Allegedly Gambling Clients' Money Away

by FA Staff

The New Jersey man, described by authorities as a professional gambler, was charged with using his clients' money for travel, entertainment and gambling.

Finra Raises Licensing Exam Fees

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Fees for securities licensing exams are going up next month.

'Too Big To Fail' Label Called A Potential Burden

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Putting a “systemically risky” label on mutual funds, hedge fund advisors and other asset managers could add to costs and make some of the companies uncompetitive, an industry official said...

SEC To Scale Back States' Power To Review Some Public Stock Deals

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U.S. regulators are poised to reduce the states' powers to police some public stock deals, a move that advocates say will spur more capital-raising and critics claim could lead to more fraud.

SEC’s Plan On Broker Rules Has Both Sides Cheering, Jockeying

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When SEC Chair Mary Jo White backed tighter rules for brokers last week, her words were greeted with cheers, oddly, by both supporters and opponents of the controversial plan.

U.S. Appeals Court Questions Challenge To SEC Pay-To-Play Rule

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The rule was enacted to combat a potential quid pro quo between investment advisors and elected officials in a position to help them win business.

Foreign Regulators Stonewalling SEC Probes, Commissioner Says

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SEC investigators are often stonewalled by foreign regulators when they seek information in other countries, SEC Commissioner Luis Aguilar said Friday.

SEC Chair To Companies, Shareholder Activists: Make Love, Not War

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Now even healthy, profitable companies are being attacked by activists, said Mary Jo White, chair of the agency.

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