Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Friday, March 9, 2007

Proposed Changes to SEC Financial Responsibility Rules

The SEC has published for comment amendments to its Financial Responsibility Rules for broker-dealers -- the net capital, customer protection, books and records and notification rules.

http://lawprofessors.typepad.com/securities/2007/03/proposed_change.html

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