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Customer Identification Programs (4)
Your search for Customer Identification Programs returned 4 results.
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1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Each registered open-end company is subject to the requirements of 31 U.S.C. 5318(l) and the implementing regulation at 31 CFR 103.131, which requires...
1/11/2013 | Content area: Investment Adviser
This is a no-action letter from the SEC's Division of Trading and Markets released in early 2013 to continue a multi-year relief granted to broker-dea...
1/11/2011 | Content area: Investment Adviser
This is a continuation of the SEC's no-action relief for broker-dealers to rely upon an investment adviser's customer identification program (CIP). Th...
6/09/2003 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
SECURITIES AND EXCHANGE COMMISSION RIN 3235-AH16 17 CFR Part 270 [Release No. IC-26031; File No. S7-26-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 ...


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