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2007 Review: Regulators Will Ease Use of CCAs

The Year in Trading

Traders Magazine, December 2007

Gregory Bresiger

A Securities and Exchange Commission bigwig said the commission wants to help block traders use client commission arrangements, or CCAs, without incurring the legal responsibilities of an adviser. Bob Plaze, associate director in the SEC's Division of Investment Management, told a fall conference that his group is working to make CCAs less daunting for block-trading officials.

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