Securities and Exchange Commission (SEC)
A federal agency charged with providing oversight and enforcement of the securities industry, including responsibility for registering, regulating and overseeing brokerage firms, clearinghouses, and self-regulatory organizations. On the Web at www.sec.gov.
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Form 10Q
National Securities Markets Improvement Act of 1996 (NSMIA)
Financial and Operational Combined Uniform Single Report (FOCUS Report)
Statement of Additional Information (SAI)
Office Of Compliance Inspections and Examinations (OCIE)
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