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Réglementation et droit · 09/12/19991 min de lecture
Privacy Act of 1974: Notice of Modifications to a System of Records and the Establishment of a New System of Records
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Résumé
The Securities and Exchange Commission proposes to modify an existing system of records by excluding records submitted by broker- dealers and to add a new system of records consisting of these broker- dealer records. This proposal reflects the assumption of certain registration functions, including maintenance of broker-dealer registration records in the new Internet-based Central Registration Depository (CRD), by the National Association of Securities Dealers, Inc. (NASD).
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