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Order Regarding Exemption Rule

Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater Than $20 Million But Less Than $50 Million

Last Reviewed or Updated: June 29, 2020

Resources

Order Regarding Exemption Rule: SEC Issued Version (pdf 212.41 KB)

Order Regarding Exemption Rule: Federal Register Version

Details

Rule Type

Order Regarding Exemption

Release Number

34-89184

SEC Issue Date

June 29, 2020

Federal Register Publish Date

July 6, 2020

Document Citation

85 FR 40356

Rules & Regulations

Enforcement & Litigation

Compliance

Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater Than $20 Million But Less Than $50 Million

Resources

Details

More in this Section

Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater Than $20 Million But Less Than $50 Million

Resources

Details