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Weekly Reports

Updates for the week ending January 31, 2014

An upcoming  Registrant Outreach Workshop (link no longer operational) is scheduled for February 20, 2014.

Policies & Instruments

  • No new documents

News & Events

Decisions, Settlements, Hearings & Temporary Orders (Enforcement)

Cease Trade Orders & Revocations (Failure to File)

Exemption Orders