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Disclosure Rule's Mixed Reception: Could Lawsuits Eclipse Investors' Savings?

Traders Magazine, April 2001

Sanford Wexler

Regulation is a cure for some and a pain for others.

A Securities and Exchange Commission regulation scheduled to go into effect this month is designed to give small investors more information about how and where their trades are executed. It will also result in creating additional record-keeping chores, more expenses and possibly exposure to costly litigation for many broker dealers.

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