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Filed Under: news, Resources on November 13, 2014

FINRA Fines Broker/Dealer a Total of $6 Million for Operational Violations and Supervisory Failures

Loffa has been working with numerous firms to protect them from this type of action. So if you would like to sleep better at night, learn …

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Filed Under: news, Resources on October 21, 2014

Citi Expands Commodities

Very interesting article on the shift of commodities business from Industry Leader Deutsche Bank to Citi. Read the full article …

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Filed Under: education, news, Resources on October 1, 2014

How Risky Is Your Free Ride?

For a little more than a decade now, The SEC has been putting more emphasis on enforcing the legislation that governs cash accounts, …

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