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Searching Content indexed under Corporate and Company Law by Nihal Patel ordered by Published Date Descending.
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CFTC And SEC Sign MOU On Derivatives Regulation
The CFTC and SEC (the "agencies") agreed to an updated Memorandum of Understanding ("MOU") to enhance regulatory coordination and facilitate information exchanges...
United States
12 Jul 2018
2
Choose One: Best Interest Or Full Service
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
United States
3 May 2018
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