Broker compliance deadline extended for client-dealing safeguards; exchanges must notify, amend bye-laws, and report implementation. Stock brokers are directed to achieve full implementation of the prior client-dealing safeguards for all clients by the revised deadline; stock exchanges must notify brokers, publish the directive, amend bye-laws and related rules to ensure uniform implementation, and report implementation status in their monthly development reports, pursuant to the exercise of regulatory powers to protect investors and regulate the securities market.
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Provisions expressly mentioned in the judgment/order text.
Broker compliance deadline extended for client-dealing safeguards; exchanges must notify, amend bye-laws, and report implementation.
Stock brokers are directed to achieve full implementation of the prior client-dealing safeguards for all clients by the revised deadline; stock exchanges must notify brokers, publish the directive, amend bye-laws and related rules to ensure uniform implementation, and report implementation status in their monthly development reports, pursuant to the exercise of regulatory powers to protect investors and regulate the securities market.
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