Summary


This change places a definition of approved brokers and dealers in the rule in Section R628-15-4. It adds a new Section R628-15-7 that provides a minimum criteria for brokers on the certified adviser's approved list of qualifying under SEC Rule 15C3-1 and renumbers the sections following. In Section R628-15-10, language is changed to allow certified advisers to use their approved list of dealers in the best interest of the public treasurer, and clarifies the use of soft dollar credits if applicable.