Washington (Sept. 16, 2003) -- Hoping to eliminate the state and federal skirmishes between regulators, the Securities and Exchange Commission and the North American Securities Administrators Association, which represents state regulators, agreed to form a 12-member task force to recommend strategies to improve communication and coordination on enforcement cases.
The initiative will focus on enforcement activities relating to regulated entities, such as broker-dealers and mutual funds, and will explore protocols, procedures and best practices for facilitating cooperation and coordination of such federal and state activities.
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