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Action: Final rule; Request for Comments on Paperwork Reduction Act Burden Estimate.
Summary: The Securities and Exchange Commission today is adopting amendments to its broker-dealer books and records rules.
These amendments are specifically designed to assist securities regulators when conducting sales practice examinations of broker-dealers, particularly examinations of local offices. Macchiaroli, Associate Director, at (202) 942-0131; Thomas K. Supplementary Information: The Securities and Exchange Commission's (the "Commission") books and records rules, Rule 17a-3 under the Securities Exchange Act of 1934 ("Exchange Act")(hereinafter the "Books and Records Rules"), specify minimum requirements with respect to the records that broker-dealers must make, and how long those records and other documents relating to a broker-dealer's business must be kept.
Effective Date: The release will publish on November 2, 2001. Mc Gowan, Assistant Director, at (202) 942-4886; or Bonnie L. The Commission has required that broker-dealers create and maintain certain records so that, among other things, the Commission, self-regulatory organizations ("SROs"), and State Securities Regulators (collectively "securities regulatory authorities") may conduct effective examinations of broker-dealers.
This update was published in Small Business Update - August 2013 Small Business Update from Atom Content Marketing is a monthly magazine for people running their own business.
Articles vary in length and cover 'hot topics', issues of importance, and current affairs. In fact, if you fail to maintain it, you will find that much of it is useless within three years.
Aggregated data about gender and other demographic factors from SSA records is used for statistical and research purposes.
In addition, as discussed below, SSA gender data is still used for identity verification by some third-party organizations.
Under current policy, a transgender person can change their gender on their Social Security records by submitting either government-issued documentation reflecting a change, or a certification from a physician confirming that they have had appropriate clinical treatment for gender transition.
Changing your gender marker with Social Security will typically not affect private health insurance.
While some insurance plans may automatically refuse coverage of services that appear inconsistent with a gender marker in the plan’s records, private plans generally do not base their gender data on, or match it with, Social Security records.
Other good reasons for regularly cleaning your data include deleting duplicate records and ensuring spellings are correct.
Under the Data Protection Act you have a legal responsibility to ensure that your data is accurate and, where necessary, is kept up to date.
Your Social Security card only lists your name and Social Security number – not your gender.