Page 2 - Compliance Monthly - September 2019
P. 2

Table of Contents




     ACCUMULATE KNOWLEDGE, VALUE, RESOURCES


        Focus of the Month                                                      02



        Regulator Roundup                                                       03


        Finalized Rules                                                         05
                                                 04

        Proposed Rules                                                          07
                                                 04

        Other Compliance News                                                   08
                                                 04

        Recommended Actions to Take                                             12
                                                 04

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