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Exemptive Rule

Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3-1 And 15c3-3 Under the Securities Exchange Act of 1934 To Promptly Transmit Customer Checks for the Purchase of Deferred Variable Annuity Contracts

Last Reviewed or Updated: Sept. 7, 2007

Resources

Exemptive Rule: SEC Issued Version (pdf 28.73 KB)

Exemptive Rule: Federal Register Version

Details

Rule Type

Exemptive

Release Number

34-56376

SEC Issue Date

Sept. 7, 2007

Federal Register Publish Date

Sept. 13, 2007

Document Citation

72 FR 52400

Rules & Regulations

Enforcement & Litigation

Compliance

Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3-1 And 15c3-3 Under the Securities Exchange Act of 1934 To Promptly Transmit Customer Checks for the Purchase of Deferred Variable Annuity Contracts

Resources

Details

More in this Section

Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3-1 And 15c3-3 Under the Securities Exchange Act of 1934 To Promptly Transmit Customer Checks for the Purchase of Deferred Variable Annuity Contracts

Resources

Details