Applies to: Dealing in Capital Markets Products , Product Financing , Providing Custodial Services , Licensed Fund Management Company , Corporate Finance Advisory , REIT Management , Registered Fund Management Company , Credit Rating Agency , Securities Crowdfunding , Exempt Futures Broker , Exempt OTC Derivatives Broker , Venture Capital Fund Management Company , Exempt Capital Markets Services Entity , Exempt Corporate Finance Adviser Serving Accredited Investors , Markets and Exchanges , Clearing House , OTC Counterparties , Trade Repository , Benchmark Administrator/Submitter , Holding Company of Exchange or Clearing House