Covered Persons Supervised or Regulated by the Securities and Exchange Commission (SEC)

  1. Securities dealers, brokers, salesmen, investment houses and other similar persons managing securities or rendering services as investment agent, advisor, or consultant;
  2. Mutual funds, close-end investment companies, common trust funds, and other similar persons; and
  3. Other entities administering or otherwise dealing in currency, commodities or financial derivatives based thereon, valuable objects, cash substitutes and other similar monetary instruments or property supervised or regulated by the SEC.

 

 

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