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Industry Victory on Books and Records

Traders Magazine, November 2001

Gregory Bresiger

The securities industry is content with the final amendments on the Securities and Exchange Commission's books and records amendments. "This rule represents a long effort of the SEC, the North American Securities Administrators Association, and the Securities Industry Association to reach a balanced compromise that addresses legitimate law enforcement concerns while at the same time respecting the need to accommodate different business models and minimize unnecessary costs," according to Stuart J. Kaswell, general counsel of the SIA.

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