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Regulatory Release

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

Details

Rule Type

Order

Release Number

34-98659

SEC Issue Date

Sept. 29, 2023 | 12:18 pm ET

Resources

34-98659

SRO Organization

The Nasdaq Stock Market LLC (NASDAQ)

Last Reviewed or Updated: Jan. 31, 2024

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

Details

Resources

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

Details

Resources