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Author : 2011
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ISBN 13 : 9781636714998
Total Pages : 0 pages
Book Rating : 4.7/5 (149 download)
Download or read book Code of Federal Regulations Title 17 Commodity Security Exch 241-End 2023 written by 2011 and published by . This book was released on 2024-01-30 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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Total Pages : 200 pages
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Author : Texas
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Author : United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry
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ISBN 13 :
Total Pages : 176 pages
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Author : U. S. Customs and Border Protection
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ISBN 13 : 9781304100061
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Author : United States Sentencing Commission
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Author : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
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Author : United States. Securities and Exchange Commission
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Total Pages : 970 pages
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Publisher : Aspen Law & Business Publishers
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ISBN 13 : 9781077077607
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Author : The Law Library
Publisher : Independently Published
ISBN 13 : 9781795070225
Total Pages : 78 pages
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Download or read book Risk Management Controls for Brokers Or Dealers with Market Access (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) written by The Law Library and published by Independently Published. This book was released on 2019-01-24 with total page 78 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Law Library presents the complete text of the Risk Management Controls for Brokers or Dealers with Market Access (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission" or "SEC") is adopting new Rule 15c3-5 under the Securities Exchange Act of 1934 ("Exchange Act"). Rule 15c3-5 will require brokers or dealers with access to trading securities directly on an exchange or alternative trading system ("ATS"), including those providing sponsored or direct market access to customers or other persons, and broker-dealer operators of an ATS that provide access to trading securities directly on their ATS to a person other than a broker or dealer, to establish, document, and maintain a system of risk management controls and supervisory procedures that, among other things, are reasonably designed to systematically limit the financial exposure of the broker or dealer that could arise as a result of market access, and ensure compliance with all regulatory requirements that are applicable in connection with market access. The required financial risk management controls and supervisory procedures must be reasonably designed to prevent the entry of orders that exceed appropriate pre-set credit or capital thresholds, or that appear to be erroneous. The regulatory risk management controls and supervisory procedures must also be reasonably designed to prevent the entry of orders unless there has been compliance with all regulatory requirements that must be satisfied on a pre-order entry basis, prevent the entry of orders that the broker or dealer or customer is restricted from trading, restrict market access technology and systems to authorized persons, and assure appropriate surveillance personnel receive immediate post-trade execution reports. This ebook contains: - The complete text of the Risk Management Controls for Brokers or Dealers with Market Access (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
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Author : Scotland
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ISBN 13 : 9780111049099
Total Pages : 8 pages
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Download or read book The Bankruptcy (Miscellaneous Amendments) (Scotland) Regulations 2021 written by Scotland and published by . This book was released on 2021-01-28 with total page 8 pages. Available in PDF, EPUB and Kindle. Book excerpt: Enabling power: Bankruptcy (Scotland) Act 2016, ss. 2 (2) (b) (ii) (5), 9 (4), 16 (1) (i), 19 (1), 46 (2) (a), 87 (8), 94 (7) (a), 113 (5), 116 (2), 119 (6) (a), 137 (2), 140 (2), 141 (2) (a) (2) (c), 142 (2) (5), 205 (1), 224, 225 (2), 227 & Coronavirus (Scotland) (No.2) Act 2020, s. 10. Issued: 28.01.2021. Made: -. Laid before the Scottish Parliament: -. Coming into force: 29.03.2021. Effect: SSI. 2016/397; 2018/127 amended. Territorial extent & classification: S. For approval by resolution of the Scottish Parliament
Author : Texas
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