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March 01, 2008 at 02:00 AM
B/D chief compliance officers can now register for the inaugural CCOutreach BD National Seminar organized by the SEC and the Financial Industry Regulatory Authority (FINRA). The seminar, designed to further promote strong compliance practices for the protection of investors, will be held on March 7, 2008 at the SEC’s headquarters in Washington, D.C. Attendance is limited to 500, with CCOs given priority on a first-come, first-served basis. The seminar will include panel discussions with SEC and FINRA staff and CCO representatives from both large and small broker/dealers about the latest compliance developments relevant to CCOs. More information is at www.sec.gov/info/bdccoutreach.htm and www.finra.org/bdccoutreach…
Merrill Lynch & Co. agreed to pay the city of Springfield, Massachusetts $13.9 million to settle a dispute over collateralized debt obligations it sold the city that plunged in value. Merrill said it agreed to refund the money after discovering the purchase was allegedly made without the city’s consent….
