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Final Rule

Custody of Funds or Securities of Clients by Investment Advisers

Last Reviewed or Updated: Aug. 4, 2023

Resources

Final Rule: SEC Issued Version (htm 96.5 KB)

Final Rule: Federal Register Version

Staff Responses to Questions About Amended Custody Rule

Details

File Number

S7-28-02

Rule Type

Final

Release Number

IA-2176

SEC Issue Date

Sept. 25, 2003

Effective Date

November 5, 2003.

Compliance Date

April 1, 2004.

Federal Register Publish Date

Oct. 28, 2003

Document Citation

68 FR 61555

Rules & Regulations

Enforcement & Litigation

Compliance

Custody of Funds or Securities of Clients by Investment Advisers

Resources

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Custody of Funds or Securities of Clients by Investment Advisers

Resources

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