Elliott Curzon

Elliott Curzon

Dechert LLP

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SEC Adopts New Financial Responsibility and Reporting Requirements for U.S.-Registered Broker-Dealers

The Securities and Exchange Commission (“SEC” or “Commission”) recently approved amendments to its net capital, customer protection, books and records, notification and reporting requirements for broker-dealers, in an effort...more

8/29/2013 - Audits Broker-Dealer Financial Regulatory Reform New Regulations Reporting Requirements SEC Surety & Fidelity

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