Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
SEC · other · Published 2003-05-29 · 68 FR 32308
Document
Document number
03-13444
Federal Register citation
68 FR 32308
CFR reference
17 CFR 241
Type
Rule
Action
Interpretation.
Category
other
Agency
US Securities and Exchange Commission
Publication date
2003-05-29
Docket
Release No. 34-47910
Abstract
The Securities and Exchange Commission is publishing guidance to clarify certain issues relating to broker-dealer books and records rules. Some of these issues have been raised as a result of the amendments to these rules that were adopted on October 26, 2001.