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
Assume nothing. Thats 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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