Regulatory Release

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

Details

Rule Type
Final
Release Number
34-44992
SEC Issue Date
Effective Date

May 2, 2003 Correction to Final Rule (public://migration/rules/final/34-44992a.htm)

Federal Register Publish Date
Document Citation

66 FR 55817

RIN
3235-AH04

Resources

Federal Register Version

Last Reviewed or Updated: May 25, 2023