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Regulatory Release

Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under th

Details

Rule Type

Order

Release Number

34-99023

SEC Issue Date

Nov. 27, 2023 | 5:40 pm ET

Resources

34-99023

SRO Organization

National Market System Plans (NMS)

Last Reviewed or Updated: Nov. 27, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under th

Details

Resources

More in this Section

Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under th

Details

Resources