TITLE

SIA likes `broker-dealer light,' range of other SEC innovations

AUTHOR(S)
Reynolds, Katherine M.
PUB. DATE
January 1998
SOURCE
Bond Buyer;01/26/98, Vol. 323 Issue 30317, p31
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Focuses on the praise made by the Securities Industry Association on regulators' moves to recognize technology and product developments by providing new options for valuing capital and regulating over-the-counter products. Comment by Stuart Caswell, senior vice president and general counsel of the association; Features of the changes made at the US Securities and Exchange Commission.
ACCESSION #
174760

 

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