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Guide To Sec Privacy Rules: Broker Dealers, Investment Companies And Advisers

0/5 ( ratings)

This new title provides detailed explanation of the SEC's new privacy rules, adopted pursuant to the Gramm-Leach-Bliley Act, for brokers, dealers, investment companies, and investment advisers. A must-have reference, it incorporates SEC interpretations of the rules, as well as practical guidance for compliance. The new privacy rules apply to all brokers, dealers, investment companies, and registered investment advisers, regardless of their firm size.

Language: English

Pages: 91

Format: Paperback

Release: March 30, 2005

ISBN 13: 9780808007333

Guide To Sec Privacy Rules: Broker Dealers, Investment Companies And Advisers

0/5 ( ratings)

This new title provides detailed explanation of the SEC's new privacy rules, adopted pursuant to the Gramm-Leach-Bliley Act, for brokers, dealers, investment companies, and investment advisers. A must-have reference, it incorporates SEC interpretations of the rules, as well as practical guidance for compliance. The new privacy rules apply to all brokers, dealers, investment companies, and registered investment advisers, regardless of their firm size.

Language: English

Pages: 91

Format: Paperback

Release: March 30, 2005

ISBN 13: 9780808007333

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