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Category: Accountability
- Admin
- May 31, 2024
The FINRA 15c211 filing is a crucial process for market makers who wish to quote an unlisted security in the United States. This regulation is governed by the Financial Industry Regulatory Authority (....
- Admin
- Dec 08, 2023
In a significant move to bolster data protection, the Securities and Exchange Commission (SEC) has unveiled a revised Privacy Act rule, which we recently covered. This rule marks a pivotal shift in th....
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