Proposed Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Overview
The Securities and Exchange Commission ("Commission') is extending from December 27, 1996, until March 31, 1997, the comment period for Securities Exchange Act Release No. 37850 (October 22, 1996), 61 FR 55593 (October 28, 1996). In the release the Commission proposed amendments to the broker-dealer books and records rules.
Details
Public Comments Due
March 31, 1997
File Number
S7-27-96
Rule Type
Proposed
Release Number
34-38159
SEC Issue Date
Jan. 13, 1997
Federal Register Publish Date
Jan. 17, 1997
Document Citation
62 FR 2633
RIN
3235-AH04