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Keywords: Consolidated audit trail
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (4): 18–24.
Published: 23 November 2012
... Financial Industry Regulatory Authority National market system plan Consolidated audit trail Central repository Auditing Archives On July 11, 2012, the US Securities and Exchange Commission (SEC) issued a release adopting new Rule 613 under the Securities Exchange Act of 1934 (Exchange Act...
