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Are Your Systems and Technology Ready for SEC Review?

March 24, 2011
Tom Steinert-Threlkeld

Chairman Mary L. Schapiro said Wednesday that the Securities and Exchange Commission should consider making reviews of automated systems used in the exchange of stocks and other investments mandatory. The mandate would be an outgrowth of Automation Review Policies issued a quarter century ago, after the Black Monday crash on Wall Street in 1987.

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