The new rules require members to keeprecords of public appearances in accordance with Rules 17a-3 and 17a-4 under the Exchange Act.9 While NASD Rule 2711 does not prescribe aspecific time limit for a member to create suchrecords, NYSE Rule 472 requires its members to create the record ...
SEC Rule 17a-4 & 17a-3 The Securities Exchange Act (SEA) Rule 17a-3 specifies the minimum requirements for broker-dealer records, how long records and documents relating to a broker-dealer’s business, and the format they may be kept. SEC Rule 17a-4 is part of the US Securities ...
This article reports that Strengthened books-and-records rules 17a-3 and 17a-4 of the U.S. Securities and Exchange Commission (SEC) went into effect on May 02, 2003 with specific data and...
This article reports that Strengthened books-and-records rules 17a-3 and 17a-4 of the U.S. Securities and Exchange Commission (SEC) went into effect on May 02, 2003 with specific data and documentation requirements.The changes were part of a compromise reached between theSEC and state securiti...
【题目】17A New rules an d behavior standards(行为规范)for middle school students came out in Marc h. Middle school is going to use a new way to decide who the top students are. T he best stu dents won't only have high marks. T hey will also be kids who don't dye(染) their ...
Every OEF shall send to each of its Public Customers statements of the Participant's financial condition as required by SEC Rule 17a-5 under the Exchange Act. Adopted October 23, 2019 (SR-BX-2019-039). Section 13. Delivery of Current Options Disclosure Documents and Prospectus ...
(4) and (5) under the Act (subject to the exemptions provided in Rule 10A-3(c) under the Act), concerning responsibilities relating to registered public accounting firms; complaints relating to accounting; internal accounting controls or auditing matters; authority to engage advisers; and funding...
to file Form X-17A-5 under the Exchange Act or Rules thereunder, with the Exchange on an annual basis only, shall, contemporaneously with those submissions, file attestations signed by such Participants stating that the procedures mandated by this Rule have been established, enforced and ...
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