Brokers Get Short Reprieve on Large Trader Requirements

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The SEC extended the compliance deadline for certain large trader recordkeeping, reporting and monitoring requirements to November 1 of 2013. The second phase of the implementation was originally scheduled to take effect on May 1, 2013.

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Published In: Business Organization Updates, General Business Updates, Finance & Banking Updates, Mergers & Acquisitions Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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