Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer
Rules for Undertaking Derivatives Business for Registered Derivatives Broker and Dealer (No. 2)
Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer
e-service Online Submission See canceled document Bond Dealer and Underwriter >> OTC Securities Dealer (section 114) Type Title Section See Document Status Notified Date Effective Date 1
case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type