United States:
Quarterly U.S. Regulatory Roundup – First Quarter 2019
29 May 2019
Duff and Phelps
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In this edition of the U.S. Regulatory Roundup, the Duff &
Phelps
Compliance and Regulatory Consulting practice outlines updates
and enforcement and judicial actions from the SEC, FINRA, NFA and
CFTC and highlights approved rules for the first quarter of
2019.
- SEC announcements
- FINRA 2019 examination priorities
- NFA notices
- CFTC announcements
Quarterly U.S. Regulatory Roundup – Q1 2019.pdf
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