Comments on Petition for Rulemaking to Prohibit National Securities Exchanges from Listing High-Risk Penny Stocks and Mandate Certain Issuer Disclosures to Facilitate Their Risk Assessment

[File No. 4-830]

Submitted Comments

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Aug. 2, 2024 James J. Angel, Ph.D., CFP®, CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business

Meetings with SEC Officials

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Sep. 18, 2024 Memorandum from the Office of the Investor Advocate regarding a September 12, 2024, virtual meeting with representatives of the American Securities Association

Rulemaking Petition to Prohibit National Securities Exchanges from Listing High-Risk Penny Stocks and Mandate Certain Issuer Disclosures to Facilitate Their Risk Assessment

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