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• Other

SRO Rule Making

• Orders Approving SRO Rule/Rule Changes

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Market Guidance – CIS Bye-Laws

Proposed Bye-Laws, Rules, Guidelines & Policies

• Draft Bye-Laws
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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

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• Reporting/Application Forms & Questionnaires

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• AML-CFT FAQs
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• Filing a Complaint

Submit a Tip or Complaint

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Our History

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Memorandums of Understanding

Procurement

• Annual Schedule of Planned Procurement Activities

Factsheets

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