B-D rules package still in pipeline
Securities regulators continue sorting through public input on proposed rules that address broker-dealer financial responsibilities.
Securities regulators continue 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. For better details, visit http://www.sec.gov/rules/proposed/2007/34-55777.pdf
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