Trading and Markets Archives | Page 4 of 9 | Regulatory Compliance Watch

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Financial Industry Regulatory Authority

BD Rules & Regulatory Actions

April 12 2018

Catalyst Corporate Federal Credit Union

BD Rules & Regulatory Actions

April 11 2018

Spotify Technology, S.A.

BD Rules & Regulatory Actions

March 23 2018

National Financial Services LLC, Re: Cash in a Customer Reserve Account under Rule 15c3-3(e)(5)

BD Rules & Regulatory Actions

March 8 2018

Invesco PowerShares Capital Management LLC, Re: Net Capital Treatment ofPowerShares Treasury Collateral Portfolio

BD Rules & Regulatory Actions

March 6 2018

Investors Exchange LLC

BD Rules & Regulatory Actions

March 1 2018

March 1, 2018 Response of the Office of Chief Counsel Division of Corporation Finance and the Office of Market Supervision Division of Market Regulation Claudia ...

Securities Industry and Financial Markets Association, Re: Treatment of Revenue from Contracts with Customers...

BD Rules & Regulatory Actions

January 4 2018

Hartford Funds NextShares Trust

BD Rules & Regulatory Actions

December 21 2017

Calvert Management Series

PF Rules & Regulatory Actions

December 21 2017

Banco Bilbao Vizcaya Argentaria, S.A.

BD Rules & Regulatory Actions

November 3 2017

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