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

Reynolds, Katherine M.
January 1998
Bond Buyer;01/26/98, Vol. 323 Issue 30317, p31
Trade Publication
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.


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