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FAQ
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Exemptive Letter
Joshua Hershman, Trumid Financial LLC
Tuesday, August 09, 2016
Guidance
William Vulpis, KCG BondPoint
Thursday, June 09, 2016
Guidance
William Vulpis, KCG BondPoint
Thursday, June 09, 2016
Guidance
Michael McGuire, Tradeweb Direct LLC
Monday, May 16, 2016
Guidance
Michael McGuire, Tradeweb Direct LLC
Monday, May 16, 2016
Targeted Examination Letter
Targeted Examination Letter on Alternative Trading Systems
Saturday, September 01, 2012
Targeted Examination Letter
Targeted Exam Letter on Alternative Trading Systems
Wednesday, May 01, 2013
Guidance
Regulatory Notice 09-46
Wednesday, August 05, 2009

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