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For Internal Use Only See File No.SE\'Submit 1 Original and 9 CopiesproCOSS9BeClige33%0913413UNITED STATES AND EXCHANGE COMMISSIONCURITIESg 26Washington,... D.C.20549of a SelfRegulatory Organization
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A self-regulatory is a document that organizations must file to comply with regulations and demonstrate self-regulation practices.
Organizations and entities that fall under the regulations requiring self-regulatory filings are required to submit a self-regulatory.
To fill out a self-regulatory, organizations must provide the required information and documentation as outlined in the regulations.
The purpose of a self-regulatory is to ensure organizations are complying with regulations and demonstrating self-regulation practices.
On a self-regulatory, organizations must report specific information as required by the regulations, such as compliance activities and self-regulation efforts.
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