Persons supervised or regulated by SEC, such as:

- Securities dealers
- Brokers
- Salesmen
- Investment houses and
- Other similar persons managing securities or rendering
   services such as investment agents, advisors, or consultants.
- Mutual funds or open-end companies
- Close-end investment
- Investment companies or issuers and other similar entities;
- Other entities administering or otherwise dealing in commodities, or financial derivatives based thereon,
   valuable objects, cash substitutes and other similar monetary instruments or properties supervised and regulated by the SEC.