Compliance Risk Concepts
Client Login
Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: proprietary trading firms (PTFs)

Regulatory News Update SEC Adopts Changes to the Definition of Dealer and Government Securities Dealer (1)
Regulatory Update
Regulatory News Update: SEC Adopts Changes to...

What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government […]

Read More
Copyright Compliance Risk Concepts | All Rights Reserved © 2023 | Privacy Policy
magnifier