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Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for
engagement on ESG issues—the focus of this guide—and we fully anticipate this trend to continue. More than 450 environmental and social shareholder resolutions were filed with US companies in 2014 alone