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Passing the Buck: Regulators Say All Introducing Broker-Dealers Must Ensure Reg NMS Compliance

Clearing Quarterly & Directory

Clearing Quarterly and Directory, Clearing Quarterly & Directory: Winter 2007

John Hintze

Assume nothing. That’s the approach that clearers and their clients should take as Regulation National Market System rules are in force, according to clearing consultants and regulators. They warn that Reg NMS ignorance will be no defense when Securities and Exchange Commission examiners start looking at the clearers’ books.

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