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Regulatory Release

Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

Details

Rule Type

Proposed

Release Number

34-40643

SEC Issue Date

Nov. 5, 1998 | 1:23 pm ET

Federal Register Publish Date

Nov. 12, 1998 | 6:13 pm ET

Document Citation

63 FR 63222

RIN

3235-AH04

Resources

Federal Register Version

Last Reviewed or Updated: May 25, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

Details

Resources

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Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

Details

Resources