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Oct 21: If A Precedes B, Did A Cause B?
SEC Commissioner Roisman offers recommendations to improve order handling disclosure. Banking regulators set expectations for managing LIBOR transition. Broker-dealer settles FINRA charges for net capital deficiencies. Broker-Dealer settles charges for signing noncompliant arbitration settlement agreement.
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By Cadwalader CabinetSEC Commissioner Roisman offers recommendations to improve order handling disclosure. Banking regulators set expectations for managing LIBOR transition. Broker-dealer settles FINRA charges for net capital deficiencies. Broker-Dealer settles charges for signing noncompliant arbitration settlement agreement.