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() CTBC Asia Limited 8 28 28/F.,Two International Finance Centre, 8 Finance Street,Central,Hong Kong. Tel(852)2916 1784 Fax(852)3101 0278 To : Client Name : Client Account No.: US Stock Market Trading

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What is cal-us securities trading guidelinesdoc?

The cal-us securities trading guidelines document is a framework that outlines the rules and regulations for trading securities in the United States, aiming to ensure compliance and ethical trading practices.

Who is required to file cal-us securities trading guidelinesdoc?

Individuals and entities involved in trading securities, including but not limited to brokers, investment advisers, and corporate insiders, may be required to file the cal-us securities trading guidelines document.

How to fill out cal-us securities trading guidelinesdoc?

To fill out the cal-us securities trading guidelines document, individuals must provide specific details regarding their securities transactions, including the type of security, the volume of trades, dates of transactions, and their relationship to the securities.

What is the purpose of cal-us securities trading guidelinesdoc?

The purpose of the cal-us securities trading guidelines document is to promote transparency, prevent insider trading, and ensure that all securities transactions are conducted ethically and in accordance with regulatory standards.

What information must be reported on cal-us securities trading guidelinesdoc?

The information that must be reported includes personal identification details, transaction dates, types of securities traded, amounts of securities, and any relevant disclosures related to the nature of the trading.

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