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Names that match “Securities and Commodities Authority”

BRAZILIAN COURT HOTEL AND CONDO · 67 Palestinian Authority · 16 White House Office of Management and Budget · 9 U.S. Securities and Exchange Commission · 5 J.P. Morgan Securities LLC · 5 Cowen and Company, LLC · 4

25,218 documents found

securities and partnership interests in non-US. entities or (ii) contribute

document stocks House Oversight Committee — Epstein Estate Records (Nov 2025)

securities and partnership interests in non-US. entities or (ii) contribute

the enforcement actions taken by securities and

document that must be taken to address the identified deficiencies House Oversight Committee — Epstein Estate Records (Nov 2025)

the enforcement actions taken by securities and

regulated by the Australian Securities and Investments Commissio

document errill Lynch Equities (Australia) Limited House Oversight Committee — Epstein Estate Records (Nov 2025)

regulated by the Australian Securities and Investments Commissio

such as the Brazilian Securities and Exchange Commission (Comissao de Valores

document supervisory bodies in Brazil House Oversight Committee — Epstein Estate Records (Nov 2025)

such as the Brazilian Securities and Exchange Commission (Comissao de Valores

regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merril

document (PRA); Merrill Lynch (Australia): Merrill Lynch Equities (Australia) Limited House Oversight Committee — Epstein Estate Records (Nov 2025)

regulated by the Australian Securities and Investments Commission; Merrill Lynch (Hong Kong): Merrill Lynch (Asia

regulated by the Securities and Futures Bureau; DSP Merrill Lynch (India): DSP Merrill Lynch Limited

document Financial Supervisory Service; Merrill Lynch (Taiwan): Merrill Lynch Securities (Taiwan) Ltd. House Oversight Committee — Epstein Estate Records (Nov 2025)

regulated by the Securities and Futures Bureau; DSP Merrill Lynch (India): DSP Merrill Lynch Limited

with direct regulatory and oversight responsibilities of securities exchanges

document 193g) House Oversight Committee — Epstein Estate Records (Nov 2025)

with direct regulatory and oversight responsibilities of securities exchanges

FINRA assessed a $1 million penalty against E""Trade Securities and E""

document o E""TRADE: ln January 2009 House Oversight Committee — Epstein Estate Records (Nov 2025)

FINRA assessed a $1 million penalty against E""Trade Securities and E""

accurately reflect each of our respective personal views about the subject securities and

document IMAGES-003-HOUSE_OVERSIGHT_014639.txt Jan 3, 2017 House Oversight Committee — Epstein Estate Records (Nov 2025)

accurately reflect each of our respective personal views about the subject securities and issuers. We also certify that no part of our respective compensation was, is, or will be, directly or indirectly, related to the specific recommendations or view expressed in this research...

Inc. As a broker dealer regulated by the Securities and Exchange Commission (“SEC”)

document Goldman Sachs Group House Oversight Committee — Epstein Estate Records (Nov 2025)

Inc. As a broker dealer regulated by the Securities and Exchange Commission (“SEC”)

and the small size of the securities markets in such countries coupled with a low volume of trading

document repatriating funds or enforcing contractual or other legal rights House Oversight Committee — Epstein Estate Records (Nov 2025)

and the small size of the securities markets in such countries coupled with a low volume of trading

only individual bonds and capital securities with specific recommendations

document referenced in the report with a different credit recommendation. Where there is no issuer credit recommendation House Oversight Committee — Epstein Estate Records (Nov 2025)

only individual bonds and capital securities with specific recommendations

regulated by the Securities and Futures Bureau; DSP

document Incorporated (Seoul Branch) regulated by the Financial Supervisory Service; Merrill Lynch (Taiwan): Merrill Lynch Securities (Taiwan) Ltd. House Oversight Committee — Epstein Estate Records (Nov 2025)

regulated by the Securities and Futures Bureau; DSP

regulated by the Securities and Exchange Board of India; PT Merrill Lynch (Indonesia): PT Merrill Ly

document Merrill Lynch (India): DSP Merrill Lynch Limited House Oversight Committee — Epstein Estate Records (Nov 2025)

regulated by the Securities and Exchange Board of India; PT Merrill Lynch (Indonesia): PT Merrill Lynch Indonesia

hold a trading position (long or short) in the securities and financial instruments discussed in thi

document ime House Oversight Committee — Epstein Estate Records (Nov 2025)

hold a trading position (long or short) in the securities and financial instruments discussed in this report.