Title: 21-07

File Link

/csl/21-07/download

CSL Letter Types

Exemption

CSL Divisions

MPD

CSL Regulation Parts

1.10

1.16

CSL Tags

Financial Reports

IB

CSL Issuance Date

Wed, 03/24/2021 - 12:00

Description

Exemptive relief to registered Introducing Broker for filing a certified financial report under Regulation 1.10 and Regulation 1.16.