‘Blast emails’ to retail investors a major offender under Rule 2210
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The two structured products distributors will operate as a single entity after parent company announces redundancies affecting 20% of staff
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When swaps become futures
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Broker/Dealer Custody & Clearing Provider of the Year: JP Morgan
SEC/CFTC Capital Markets Working Group could be "just another talking shop"
Survey released today in Prague also shows increases in portfolio reconciliation
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