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  • Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success
  • Deferrals and Claw-Backs Potentially Required in Newly Proposed Compensation Arrangements for Senior Officers of Certain Financial Institutions
  • SEC Claims Broker-Dealer's Attempt to Escape FINRA Disciplinary Action is Untimely
  • FSOC Expresses Concerns That Pooled Investment Vehicles' Liquidity and Redemption Risks May Pose Financial Stability Concerns
  • Related Broker-Dealers Agree to Pay US $1 Million Penalty to FINRA for Allegedly Not Sending Certain Required Information to Private Bank Clients