United States:
Quarterly U.S. Regulatory Roundup – Third Quarter 2019
27 November 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, enforcement and judicial actions from the SEC, FINRA, NFA
and CFTC from the third quarter of 2019.
Highlights Include:
- SEC announcements
- FINRA advice
- NFA amendments
- CFTC actions
- Enforcement cases
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