SEC Promulgates New Y2K Compliance Regulations

Kelvin, Jeffrey B.
October 1998
Journal of Financial Planning;Oct98, Vol. 11 Issue 5, p28
Academic Journal
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.


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