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Detailed Review of the SEC Proposed Amendments to the Broker-Dealer Financial Responsibility Rules by W. Hardy Callcott
Bingham McCutchen LLP
San Francisco Office
Kevin A. Zambrowicz
Bingham McCutchen LLP
Washington Office
E. David Hwa
Bingham McCutchen LLP
Boston Office
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April 23, 2008
Previously published on May 2007
The Securities and Exchange Commission (SEC) has published for comment proposed amendments to various broker-dealer financial responsibility rules.
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The views expressed in this article are solely the views of the author and not Martindale-Hubbell. This article is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance. |
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