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Keywords: National market system plan
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (4): 18–24.
Published: 23 November 2012
...James Brigagliano; Kevin Campion; David Katz; Andrew Blake Purpose The purpose of this paper is to explain the requirements of SEC Rule 613 under the Securities Exchange Act of 1934, which requires national securities exchanges and FINRA jointly to develop a national market system plan (NMS Plan...
