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Trading Room Only Annual Regulatory Return Please note that you are legally required to complete and submit this regulatory return annually to the Commission. Before completing the return, you are
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Trading room only annual is a report that must be filed by firms that operate a trading room and engage in securities trading activities.
Firms that operate a trading room and engage in securities trading activities are required to file trading room only annual.
Trading room only annual can be filled out online through the designated regulatory authority's portal, following the instructions provided.
The purpose of trading room only annual is to ensure that firms operating trading rooms comply with regulatory requirements and report relevant trading information.
Information such as trading volume, types of securities traded, and compliance with risk management guidelines must be reported on trading room only annual.
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