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Some Firms Unaware of Privacy Compliance Deadline
Some broker-dealers, investment advisors and other entities may not be prepared to be in compliance with the Title V privacy provisions of the Gramm-Leach-Bliley Act by the July 1st deadline.
The SEC already has commented that, during the course of routine examinations being conducted now, it has found that some firms have taken no steps to comply and apparently are unaware of the new provisions and/or the approaching deadline.
Source: BD Week, May 14, 2001
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