You may have obligations to file compliance reports with regulators as under:
Securities Exchange Act, 1934
DATA Act, 2014 and Great Act, 2017
Financial Transparency Act, 2017
Municipal Securities Rulemaking Board
Securities Exchange Act, 1934
DATA Act, 2014 and Great Act, 2017
Financial Transparency Act, 2017
Municipal Securities Rulemaking Board
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| SEC | CFTC | Fed | FDIC | OCC | NCUA | CFPB | FHFA | UST | OMB | MSRB | |
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| Credit Rating Agencies | |||||||||||
| Broker Dealers | |||||||||||
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| Securities Exchange | |||||||||||
| Municipal Government Securities Broker-dealers | |||||||||||
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| State or Local Governments issuing Bonds | |||||||||||
| Future Commission Merchants | |||||||||||
| Swap Dealers or Participants | |||||||||||
| Foreign Exchange Dealers | |||||||||||
| Introducing Brokers | |||||||||||
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| Savings and Loan Holding Companies | |||||||||||
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| Foreclosure Relief Services | |||||||||||
| Home Loan Lenders | |||||||||||
| Recepients of Federal Awards (Grants and Contracts) | |||||||||||