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News July 5, 2004 Issue

Advisers Code of Ethics Release Posted on SEC Website! At Last!

It's finally up! The long-awaited Advisers Act personal trading code of ethics release was posted on the SECís website July 2.

Although the rulemaking was formally approved by the Commission on May 26, its release was delayed a month because of changes requested by Commissioners during the open meeting to address how, exactly, code violations would be reported or transmitted to the CCO.

The final rules drop the controversial need-to-know and electronic recordkeeping standards contained in the proposal.