TITLE

SEC Promulgates New Y2K Compliance Regulations

AUTHOR(S)
Kelvin, Jeffrey B.
PUB. DATE
October 1998
SOURCE
Journal of Financial Planning;Oct98, Vol. 11 Issue 5, p28
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
Cites the introduction of a regulation by the United States Securities and Exchange Commission (SEC) which would legally mandate and require advisers who are federally registered, to undertake specific tasks to assure the year 2000 (Y2K) compliance process. Introduction of the Form ADV-Y2K questionnaire; Stipulations of SEC Release No. IA-1728.
ACCESSION #
1212371

 

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