SEC mulls B-D rules package
Securities regulators are sorting through public input on proposed rules that address broker-dealer financial responsibilities.
Securities regulators are sorting through public input on proposed rules that address broker-dealer financial responsibilities. The proposed changes, originally issued in March, deal with net capital, customer protection, books and records, and notification rules. The comment deadline was June 18. For better details, visit http://www.sec.gov/rules/proposed/2007/34-55431.pdf
Learn more about reprints and licensing for this article.
