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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 second quarter of 2019.
Local and global compliance expertise for the financial services industry.
Comprehensive support for asset managers registering in the U.S.
Broker-dealer registration, ongoing support services, and mock exams.
SEC and CFTC registration and ongoing compliance support.
Comprehensive SEC registration support.