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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers

SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers
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SEC gov | SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers

SEC gov | SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers
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SEC orders TIAA to pay $2 2M for violating Reg BI

SEC orders TIAA to pay $2 2M for violating Reg BI
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Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures

Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures
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