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Surety & Fidelity Securities and Exchange Commission (SEC) Audits

Dechert LLP

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

Dechert LLP on

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

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