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: Securities Law Prof Blog

SEC Adopts Custody and Recordkeeping Rules for Investment Advisers

By Securites Lawprof

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The SEC adopted amendments to the custody and recordkeeping rules under the Investment Advisers Act of 1940 to provide additional safeguards when a registered adviser has custody of client funds or securities. The final rules require the adviser, among other...

Full post as published by Securities Law Prof Blog on December 31, 2009 (boomark / email).

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