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SEC Exam Priorities, Shortened Settlement Cycles, Form ADV Amendments and Hackers Impact Derivatives Market: Regulatory Update for March 2023 | ACA Group
As compliance professionals, we know that “March Madness” has a special meaning beyond the excitement of NCAA basketball. To help you through these upcoming weeks, check out this issue.
United states
Jaquelinem hummel
Mike parzy
Division of examinations
Department of labor
National futures association
Trading commission
Securities exchange
Exchange commission
Custody rule
Thought leadership
Securities exchange act
Act rule
Funding account
Wish for
Custody rule proposed
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