Guidance

2019 Exam Findings Report
Direct Market Access Controls
October 16, 2019
2018 Exam Findings Report
Market Access Controls
December 07, 2018
2017 Exam Findings Report
Market Access Controls
December 06, 2017
Targeted Examination Letter
Targeted Examination Letter on Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA")
August 01, 2010