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Keywords: Interest
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (4): 44–65.
Published: 23 November 2012
..., Communications with the Public, and Notice 12‐38, Short Interest Reporting. Findings Notice 12‐29: the SEC has approved FINRA's proposed rule changes to adopt a new set of communication rules that become effective February 4, 2013. They address communications in three categories: institutional communication...
