Broker-dealer Regulation

Broker-dealer Regulation

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00-15444 Filed 6-14-00; 5:08 pm] BILLING CODE MIO-ftl-M SECURITIES AND EXCHANGE COMMISSION [File No. ... other broker-dealers, and to investors concerning: (1) WAMEXa#39;s ability to comply with the Commissiona#39;s regulations regarding the operation of ... Association (aquot;SIAaquot;) and its members, the National Securities Clearing Corporation, the Depository Trust and Clearing Corporation (aquot; DTCCaquot;), anbsp;...

Title:Broker-dealer Regulation
Publisher: - 2001


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