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Spring/Summer 2014 Department of Chemical and Materials Engineering CME 458 or 459 Special Project Course ** ************************************************************************************ Each
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cme 458 or 459 refer to the forms required by the Securities and Exchange Commission (SEC) for registered broker-dealers to disclose potential conflicts of interest.
Registered broker-dealers are required to file cme 458 or 459 with the SEC.
cme 458 or 459 can be filled out electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
The purpose of cme 458 or 459 is to provide transparency and disclosure of potential conflicts of interest that may arise in broker-dealer activities.
cme 458 or 459 requires broker-dealers to disclose any potential conflicts of interest, including relationships with clients, compensation arrangements, and other relevant information.
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