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FCMs (4)
Your search for FCMs returned 4 results.
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12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk. As a result, we encour...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[14] As a result, we en...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[16] As a result, we en...
5/11/2016 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA
FinCEN is issuing final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: Banks; brokers or dealers ...


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