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Exemptive Rule

Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule

Last Reviewed or Updated: Oct. 30, 2015

Resources

Exemptive Rule: SEC Issued Version (pdf 108.29 KB)

Exemptive Rule: Federal Register Version

Details

File Number

4-657

Rule Type

Exemptive

Release Number

34-76322

SEC Issue Date

Oct. 30, 2015

Federal Register Publish Date

Nov. 5, 2015

Document Citation

80 FR 68590

Rules & Regulations

Enforcement & Litigation

Compliance

Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule

Resources

Details

More in this Section

Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule

Resources

Details