SEC proposes transition period for investment firms to register in Ohio

Hume, Lynn
February 1999
Bond Buyer;02/02/99, Vol. 327 Issue 30570, p29
Trade Publication
Reports on the United States Securities and Exchange Commission's proposed rule that would give small investment advisers in Ohio a year to change from SEC to state registration. Effective date of state rules; Deadline set by SEC for receiving comments on the issue; Small advisers regulation under the National Securities Markets Improvement Act of 1996.


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