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On May 2, the Securities and Exchange Commission imposed sweeping new record-keeping requirements on the securities industry by amending the Securities Exchange Act of 1934 Rules 17a-3 and 17a-4. Although opposed by the securities industry as onerous, the rules are seen as a major victory for state regulators who will now benefit from them by enjoying easier access to salient information maintained by broker-dealers.
July 11, 2003 at 12:00 AM
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The original version of this story was published on Law.Com
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