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Keywords: Restructuring and insolvency
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Journal Articles
CFTC modernizes Rule 1.31 recordkeeping requirements
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 45–49.
Published: 06 November 2017
... Financial Industry Regulatory Authority (FINRA) Broker-dealer regulation Restructuring and insolvency Securities enforcement and regulation The Final Rule preserves the existing right of a records entity to provide a representative of the Commission with an original regulatory record...
