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manager of the facility’s control room left his station without following proper 
protocols, an incident that wasn’t reported within 24 hours. “Neither situation had an 
immediate consequence, neither resulted in the plant shutting down,” said the NRC's 
Region III spokeswoman. The reports come after two special inspections this year that 
looked into separate previous failings at the 40-year-old, 430-acre plant. The first letter 
offering the preliminary findings details what happened May 10. While inspectors were 
routinely testing the plant’s auxiliary feed water system, a turbine-driven pump was 
tripped. Investigators found a component was greased that should not have been. The 
system is used in an emergency situation if external power to the plant is shut off, the 
NRC spokeswoman said. The preliminary findings classified the situation with a low to 
moderate safety significance. The plant may face additional inspections or have its 
standing on a performance matrix lowered. The second letter details an incident where 
a control room operator left the control room because he was upset and did not notify a 
shift manager, which was against regulation, the NRC spokeswoman said. According to 
the rule, the employee would have to notify a shift manager to have a qualified operator 
take her place. In addition, the incident was not reported to management in the required 
24-hour window in which it occurred. 
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Banking and Finance Sector 
October 31, Bloomberg
 – (National) Finra sanctioned by SEC for altering records 
before inspection. The U.S. Securities and Exchange Commission (SEC) October 27 
ordered the Financial Industry Regulatory Authority (Finra) to improve its internal 
procedures after accusing a Finra employee of altering records before an SEC 
inspection. The director of Finra's Kansas City office caused the alteration of three 
records of staff meeting minutes in 2008 hours before producing them to SEC 
inspectors, making the documents inaccurate and incomplete, the SEC said in a 
statement. Finra, the industry-funded brokerage regulator, was ordered to hire a 
consultant and undertake steps to improve policies, procedures and training for