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October 23, 2020 is the deadline to provide feedback on the self-regulatory organization (SRO) framework consultation paper.
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About the ASC
- ASC Strategic Plan
- Organizations the ASC Collaborates With
- Organization & governance
- ASC Members
- Executive Management
- Advisory Committees
- Careers
- Career Opportunities
- Hear From Our People
- Why Choose the ASC
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Complain or Report
Securities Law & Policy
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- Blanket Orders & Designation Orders
Issuer Regulation
Financial Innovation in the Capital Markets
Registrant & Market Regulation
- Registrant Toolkit
- How to Apply
- Frequently Used Forms & Fees
- Information about Exemptions
- Client Focused Reforms
- Education
- Research
- Self-Regulatory Organizations
- Exchanges, Alternative Trading Systems, Clearing Agencies & Trade Repositories
- Regulatory Reform of Over-the-Counter Derivatives
- Exemption Orders
- Decisions & Orders
Small Business
Enforcement
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- Electronic Document Guidelines
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- Status of Current Proceedings
- Other proceedings
- Unpaid Orders
- Notices, Decisions & Orders
- File an Investor Complaint
- Office of the Whistleblower
- Automatic Reciprocation
News & Publications
Learn more about what the ASC is doing to support market participants and investors.
Learn More
October 23, 2020 is the deadline to provide feedback on the self-regulatory organization (SRO) framework consultation paper.
Learn more
About the ASC
- About the ASC
- ASC Strategic Plan
- Organizations the ASC Collaborates With
- Organization & governance
- ASC Members
- Executive Management
- Advisory Committees
- Careers
- Career Opportunities
- Hear From Our People
- Why Choose the ASC
- New Employees & Students
- FAQs
- Accessing Records
- Frequently Asked Questions
- Terms used in this website
- Contact Us
Registrant & Market Regulation
- Registrant & Market Regulation
- Registrant Toolkit
- How to Apply
- Frequently Used Forms & Fees
- Information about Exemptions
- Client Focused Reforms
- Education
- Research
- Self-Regulatory Organizations
- Exchanges, Alternative Trading Systems, Clearing Agencies & Trade Repositories
- Regulatory Reform of Over-the-Counter Derivatives
- Exemption Orders
- Decisions & Orders
Learn more about what the ASC is doing to support market participants and investors.
Learn More