SEC is amending broker-dealer form

Hume, Lynn
May 1999
Bond Buyer;05/04/99, Vol. 328 Issue 30633, p4
Trade Publication
Reports that the United States Securities and Exchange Commission has proposed amending its broker-dealer registration rules and form. Aim to provide broker-dealers with a one step registration process over the Internet-based Central Registration Depository system; Appointment of James Thomas Kelly as an administrative law judge at the commission.


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