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Order Rule

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity

National Securities Exchanges, The Nasdaq Stock Market LLC (NASDAQ)

Public Comments

Submit a Comment

Last Reviewed or Updated: Nov. 1, 2023

Resources

Order Rule: SEC Issued Version (pdf 212.66 KB)

Details

Public Comments Due

Oct. 25, 2023

Rule Type

Order

Release Number

34-98659

SEC Issue Date

Sept. 29, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity

Public Comments

Resources

Details

More in this Section

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity

Public Comments

Resources

Details