Customer protection rule
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SEC adopts amendments to broker-dealer Customer Protection Rule
Certain broker-dealers must now compute customer and reserve deposit requirements, making required deposits into reserve accounts on a daily rather than weekly basis.
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SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
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SEC votes to amend money-market fund and BD customer protection rules
Regulator moves to increase resilience of money-market funds, but there are dissenting voices.