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Expert Analysis

A New Market Access Rule For Broker-Dealers?

Law360 (March 15, 2010, 12:43 PM EDT) -- On Jan. 13, the U.S. Securities and Exchange Commission proposed a market access rule that would require broker-dealers with access to trading directly on an exchange or alternative trading system (ATS) — including broker-dealers providing clients with sponsored or direct market access — to implement risk management controls and supervisory procedures designed to manage the financial, regulatory and other risks arising from such access....

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