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Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic...
SEC Interpretation:Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240Release No. 34-41261; File No. S7-5-99RIN: 3235-AH40Publication or Submission of Quotations Without Specified InformationAGENCY:Securities and Exchange Commission.ACTION:Reproposed rule; extension ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-40518; File No. S7-26-98]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-37850; File No. S7-27-96]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...