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Page 1: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 2: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 3: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 4: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 5: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 6: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 7: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 8: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 9: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 10: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 11: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 12: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 13: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 14: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 15: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 16: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 17: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 18: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 19: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 20: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 21: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 22: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 23: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 24: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 25: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be
Page 26: Securities Industry and Financial Markets Association · 2019-12-19 · SIFMA's broker-dealer members are required by the Securities Exchange Act of 1934, 15 U.S.C. §§ 78a to be

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