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topicbroker-dealer-discretionary-accounts
Federal Register documents tagged broker-dealer-discretionary-accounts. Each entry is scored 1-5 for compliance materiality and dated for any comment or effective-date deadlines.
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§ 01 Agencies issuing on this topic
§ 02 Recent documents
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Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-7
The SEC is seeking public comment on extending the existing OMB approval for the information collection associated with Rule 15c1-7. The notice concerns Paperwork Reduction Act burden estimates and does not amend Rule 15c1-7 or change broker-dealer conduct requirements.
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