Regulatory Agencies
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- Commodity Futures Trading Commission (CFTC) (18)
- Financial Crimes Enforcement Network (FinCEN) (2)
- Financial Industry Regulatory Authority (FINRA) (9)
- National Association of Securities Dealers (2)
- National Futures Association (NFA) (10)
- Public Company Accounting Oversight Board (PCAOB) (2)
- Maine Bureau of Banking (3)
- New Hampshire Bureau of Securities Regulation (1)
- New York Department of Financial Services (7)
- Oregon Division of Finance and Corporate Securities (1)
- South Carolina Attorney General (2)
- Texas State Securities Board (2)
- Vermont Department of Financial Regulation (2)
- Securities and Exchange Commission (SEC) (107)