Cease and Desist Orders

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Orders

• Delegated Orders
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• Other

Guidelines

SRO Rule Making

• Orders Approving SRO Rule/Rule Changes

Circulars, Bulletins, Policy Statements

Market Guidance

Proposed Bye-Laws, Rules, Guidelines & Policies

• Draft Bye-Laws
• Draft Guidelines
• Draft Policy

Registration

• Approved List of Designated Foreign Jurisdictions
• Categories of Registration
• Categories of Securities to be Registered
• Commission-Issued Forms
• List of Registered and/or Authorized Companies and Individuals
• List of Registered Securities

Prudential Requirements and Filings

• Filings
• Documents Filed-Securities Registrations
• MMRF Framework
• Volume Report

AML-CFT-CPF

• Beneficial Ownership
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• Reporting / Application Forms & Questionnaires
• Public Statements
• Guidance
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• Frequently Asked Questions (FAQs)

Investor Protection

• Filing a Complaint

Submit a Tip or Complaint

Resources for Investors

• Investor Alerts
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• InvestucateTT
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Orders

• Settlement Orders
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Notices

Media & Communications

• Media Releases
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• Multimedia
• Social Media Directory

Policy, Publications and Research

• Policy and Guidance Papers
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• Annual Report
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• Data and Statistics

Our History

Who We Are

• Vision and Mission
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• Powers and Functions
• FOIA Statements

Our Leadership

• Board of Commissioners
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• Divisional Profiles
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Careers

• Vacancies

Memorandums of Understanding

Procurement

• Annual Schedule of Planned Procurement Activities

Factsheets

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