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 (13.2) MB
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