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By 5-Oct-04, the SEC requires all registered investment companies and advisors to implement broad new compliance policies and procedures – one of the biggest changes since the 1940 Investment Company Act. We provide the latest 38a-1 news, strategies and information.
SEC Releases Sweeping New Compliance Requirements for Broker-Dealers
  By AM Henry, 5-FEB-04
The SEC released its final rule for compliance programs of investment companies and advisers.

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