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SEC Reopening Comment Period on Several Key Proposed Rules After Technical Error

The SEC on Oct. 7, 2022, reopened the comment period for 11 rule making proposals, one request for comment and eight Self-Regulatory Organization…

Financial industry regulatory authority incInvestment company namesMoney market fund reformsA retail midpoint liquidity programPurpose acquisition companiesArca incHolland knight securities enforcement defense teamExchange incFund advisersNational market system planShell companiesGoverns the exchange minor rule violation planRegulatory organizationInvestment companies about environmentalSelf regulatory organizationSecurities enforcement defense team

SEC Reopening Comment Period On Several Key Proposed Rules After Technical Error - Securities

The SEC on Oct. 7, 2022, reopened the comment period for 11 rule making proposals, one request for comment and eight Self-Regulatory Organization (SRO) matters – all due to a technical error.

Exchange incViolations eligible for disposition under the exchangeAuthority incLiquidity programExchange minor rule violation planArca incHolland knight securities enforcement defense teamSecurities enforcement defense teamProposed ruleAmend ruleMinor rule violationsViolations eligibleDisposition underMinor rule violation planFine scheduleMinor violations

SEC Reopening Comment Period on Several Key Proposed Rules After Technical Error | Holland & Knight LLP

The SEC on Oct. 7, 2022, reopened the comment period for 11 rule making proposals, one request for comment and eight Self-Regulatory Organization (SRO) matters – all due to a technical.

Financial industry regulatory authority incNational incA retail midpoint liquidity programArca incHolland knight securities enforcement defense teamExchange incGoverns the exchange minor rule violation planRegulatory organizationSelf regulatory organizationSecurities enforcement defense teamProposed rule changeAmend ruleMinor rule violationsViolations eligibleDisposition underMinor rule violation plan

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