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SEC Seeks Input on Rule Compliance Information Collection
September 02, 2025
WASHINGTON, Sept. 2 (TNSFRinfo) -- The Securities and Exchange Commission is asking for public comments on a continuing information collection rule for overseas firms. The collection, which falls under Rule 17a-7, requires non-resident broker-dealers to maintain copies of their records in the U.S. or commit to providing them within 14 days of a request.

SEC has determined there are approximately 53 affected firms. It projects the yearly time burden for each to be about one hour, res . . .

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