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Requesting Further Relief from the Prior Written Consent Requirement for Sweep Program

Issue

The Individual Investor→

Summary

SIFMA submitted a comment letter to the Securities and Exchange Commission requesting further relief from the recently imposed requirement under the Financial Responsibility Rules that a broker-dealer obtain prior written consent from a customer before placing customer funds into a sweep program. 

 

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Related Committee(s)

  • Private Client & Wealth Management

Date

14

October

2014

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