Quarterly U.S. Regulatory Roundup – Third Quarter 2019

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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