Quarterly U.S. Regulatory Roundup – First Quarter 2019

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
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