Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Regulatory Release

Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934

Details

Rule Type

Final

Release Number

34-38245

SEC Issue Date

Feb. 5, 1997 | 1:20 pm ET

Effective Date

60 days after publication in Federal Register .

Federal Register Publish Date

Feb. 12, 1997 | 6:10 pm ET

Document Citation

62 FR 6469

RIN

3235-AF91

Resources

34-38245

Federal Register Version

Last Reviewed or Updated: May 25, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934

Details

Resources

More in this Section

Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934

Details

Resources