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Keywords: Broker-dealer reporting
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Journal Articles
SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (4): 38–43.
Published: 25 November 2013
... can be contacted at: elliott.curzon@dechert.com © Authors 2013 United States of America Securities and Exchange Commission Broker-dealer custody Broker-dealer regulation Broker-dealer reporting The Securities and Exchange Commission (“SEC” or “Commission”) recently approved...
