FINANCIAL INDUSTRY REGULATORY AUTHORITY

FINANCIAL INDUSTRY REGULATORY AUTHORITY

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  1. FILE PHOTO:    A Deutsche Bank sign is seen on the floor of the New York Stock Exchange

    Deutsche Bank's US brokerage fined US$1.4 million for reporting problems

    Deutsche Bank AG's U.S. securities division agreed to pay a US$1.4 million fine to the Financial Industry Regulatory Authority on Wednesday to ...
  2. FILE PHOTO: The seal of the U.S. Securities and Exchange Commission hangs on the wall at SEC headqu

    US charges S&P analyst, 2 others with insider trading in paint merger

    The U.S. Securities and Exchange Commission on Tuesday charged three people with insider trading ahead of Sherwin-Williams Co's March 2016 ...