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

Broker-Dealer Exemption from Sending Certain Financial Information to Customers

Details

Rule Type

Proposed

Release Number

34-46920

34-48272

SEC Issue Date

Nov. 26, 2002 | 1:23 pm ET

Federal Register Publish Date

Dec. 3, 2002 | 6:13 pm ET

Document Citation

67 FR 71909

RIN

3235-AI68

Resources

Federal Register Version

Last Reviewed or Updated: May 25, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Broker-Dealer Exemption from Sending Certain Financial Information to Customers

Details

Resources

More in this Section

Broker-Dealer Exemption from Sending Certain Financial Information to Customers

Details

Resources