An attempt is made to examine each SECO broker-dealer within 60 days after it becomes registered with the Commission and to schedule routine ... An important function of the new Office is to perfect an early warning system for the detection of financial and operational problems of broker-dealers. ... One of the first tasks of the new Office was the revision of the Broker- Dealer Examination Manual, anbsp;...
|Title||:||Annual Report of the Securities and Exchange Commission|
|Author||:||United States. Securities and Exchange Commission|