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CFTC Clarifies Chief Compliance Officer Reporting Line Requirements

In response to questions about reporting line requirements for chief compliance officers (CCOs) of swap dealers, major swap participants, and futures commission merchants, the CFTC issued a staff

FINRA Warns Firms Against Agreements that Narrow Customer Arbitration Choices

FINRA has issued guidance suggesting that its member firms review their predispute arbitration agreements with customers to ensure the agreements do not include provisions that forfeit the customer’s

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