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OBOE EDGE EXCHANGE, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2015048327605 NO. TO:Oboe EDGE Exchange, Inc. do Department of Enforcement Financial Industry Regulatory Authority (“FINRA “’RE:SG
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The Department of Enforcement is responsible for investigating potential violations of regulations and enforcing compliance.
Individuals or entities who are suspected of violating regulations may be required to file with the Department of Enforcement.
To fill out the Department of Enforcement form, individuals must provide detailed information about the alleged violation and any related evidence.
The purpose of the Department of Enforcement is to ensure compliance with regulations and penalize those who violate them.
The Department of Enforcement form typically requires information about the alleged violation, any evidence or witnesses, and contact information for the filer.
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