Y2K (Year 2000): Is Wall Street & Banking Vulnerable? Message Board

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Technology Stocks : Y2K (Year 2000): Is Wall Street & Banking Vulnerable?

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To: John Hunt who wrote (40)	6/11/1999 11:51:00 AM
From: C.K. Houston	Read Replies (3) of 158

MORE FINANCIAL SERVICES FIRMS MISS SEC Y2K DEADLINE A Securities and Exchange Commission (SEC) official confirmed ... that the agency is considering fining several financial services companies that have missed a recent Y2K status disclosure filing deadline. Banks and financial institutions are said to be among the leaders in Year 2000 compliance, out of all professional industry sectors. Some companies in the securities industry, though, are not meeting SEC-mandated filing deadlines that update their Y2K compliance. In fact, a number of broker-dealers and transfer agents have missed the May 30, 1999 filing deadline, SEC spokesperson Katherine Addleman said this afternoon. The commission is now deciding if any further actions will be taken against the unnamed companies, Addleman also said ... *Broker-dealers include Fidelity, ETrade and Paine Webber ...** newsbytes.com Cheryl

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