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December 10, 2013

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FINRA Orders B-D to Pay $700K to Clients
The independent broker-dealer got into hot water over unsuitable fund sales, according to FINRA.

Volcker Rule OK'd: New Trading Curbs for Wall Street Banks
Wall Street’s biggest banks will face curbs on some trading and chief executive officers won’t be personally responsible for ensuring compliance in the final version of the Volcker rule, U.S. regulators’ landmark attempt to rein in the financial industry.

TD's Schweiss: Fiduciary Standard One Step Closer
For most of the past year, the status of a uniform fiduciary standard for brokers and investment advisors might be summarized as, “Don’t hold your breath: the SEC has higher priorities.”

IRS Finalizes Rules on Additional Medicare Tax
The IRS has released the final regulations for the 0.9% Additional Medicare Tax that was imposed as part of the Affordable Care Act.

S&P: Fraud Suit Over Ratings Is Too Broad for Trial
McGraw Hill Financial's Standard & Poor's unit said the U.S. government has broadened the securities covered in its fraud lawsuit against the ratings company so that the case would be unmanageable at trial.

Sound Off: Is the SEC Lagging?
Deborah Castellani, a principal and senior fiduciary specialist with Akros Fiduciary in Austin, Texas, responded on LinkedIn to a story about advisory firms sanctioned by the SEC over their compliance programs.

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