Amendments to SEC Rules 34.1 and 38

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SEC MEMORANDUM CIRCULAR NO. 13, S. 2004: Amendments to SEC Rules 34.1 and 38

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Title Supreme Court: Amendments to SEC Rules 34.1 and 38

Law: Sec Memorandum Circular No. 13, S. 2004

Decision Date: Oct 21, 2004

The SEC has amended Rules 34.1 and 38 of the Securities Regulation Code to enhance the segregation of broker and dealer functions and establish stricter criteria for the nomination and election of independent directors, effective 15 days post-publication.

administrative law

legal ethics

broker dealer

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