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“Broker-dealers and investment advisors provide critical financial services to millions of American investors,” said SEC Chairman Mary L. Schapiro. “A system that fairly and effectively regulators these market participants is essential to protecting investors.”
Firms and individuals may submit their comment letters electronically at:
Or, comments may be mailed to: Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549, again referring to File Number 4-606.