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SEC Enforcement Actions Enforcement Financial Services Authority Fraud Insider Trading CFTC Securities Fraud Penalties Securities Act of 1933 Administrative Hearings Investment Adviser Investment Funds RMBS Securities Civil Monetary Penalty Compliance Consent Decrees Disclosure Requirements Dodd-Frank Internal Controls SEC v Citigroup Securities Exchange Act Settlement Whistleblowers Asset Management Books & Records Breach of Duty Brokers CFPB Chevron Deference Chief Compliance Officers Citigroup Conflicts of Interest Disgorgement Fiduciary Duty FinCEN Illegal Tipping Interlocutory Appeals Investment Advisers Act of 1940 Joint Venture Judge Rakoff Material Nonpublic Information Misrepresentation Neither Admit Nor Deny Settlements Offerings Ponzi Scheme Popular Public Offerings Risk Management Swaps Affiliates ALJ Appeals Asset Valuations Australia Bank Fraud Bank Secrecy Act Banks Bitcoins BlackRock Board of Directors Burger King C-Suite Executives Canada Capital Markets Stability Act Cell Phones Co-Location Commodities Compensation Committee Consumer Lenders Control Person Cross-Border Transactions Cryptocurrency Derivatives Clearing Organizations Disclosure Discussion Draft Duty of Care Electronic Trading EMMA End-Users Executive Compensation False Statements Falsified Documents FCC FDIC FHFA Final Judgment FINRA FTC Hedge Funds Herballife High Frequency Trading Hong Kong Information Sharing Injunctions Investigations ISS Kraft Libor Market Manipulation Market Participants Mary Jo White Military Service Members Misappropriation Mortgages Municipal Bonds Municipal Securities Issuers Municipalities NCCA Negligence NFA No-Action Letters No-Action Relief NYSE OCC OCIE Oil & Gas Pay-To-Play Payday Loans Personal Benefit Personal Liability Petition For Rehearing Portfolio Managers Private Equity Provincial Capital Markets Act Proxy Statements Proxy Voting Guidelines Public Officials Real Estate Investments Receivership Rule 10b-5 SAR Say-on-Pay Secondary Markets Section 204 Securities Litigation Shareholder Litigation Shareholders SIFMA Spoofing Strategic Enforcement Plan U.S. Treasury UK Unregistered Brokers US v Newman Vacated Valuation Virtual Currency Wells Fargo Wireless Industry