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.

Last Reviewed or Updated: May 25, 2023