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Regulatory Release

Custody of Funds or Securities of Clients by Investment Advisers

Details

Rule Type

Final

Release Number

IA-2176

SEC Issue Date

Sept. 25, 2003 | 1:21 pm ET

Effective Date

November 5, 2003.

Compliance Date

April 1, 2004.

Federal Register Publish Date

Oct. 28, 2003 | 6:11 pm ET

Document Citation

68 FR 61555

Resources

ia-2176htm

Federal Register Version

Last Reviewed or Updated: Aug. 4, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Custody of Funds or Securities of Clients by Investment Advisers

Details

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Custody of Funds or Securities of Clients by Investment Advisers

Details

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