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Small Firms Groan Under Burden of Regs: Is 1984 Finally Coming to the Street?

Traders Magazine, October 2002

William Hoffman

When are brokerage regulations onerous? Right now, many executives complained at a recent conference. Firms are now required to keep more records than ever before and investigate the source of much of the money they receive. This increasing regulatory burden is bothering many officials of firms, according to attendees at the recent Securities Industry Association's Small Firms Conference in Dallas.

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