SEC Extends No-Action Relief for Customer Identification Rule
October 2006
Relevant Industry Group:
Securities
On July 11, 2006, the SEC Division of Market Regulation issued a letter to the Securities Industry Association extending no-action relief that was originally granted in February 2004 (and previously extended in February 2005) in connection with customer identification programs ("CIP").
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2006 Vol III Expect Focus S1
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