Regulacje i polityka gospodarcza · 12/10/2016

NYSE MKT LLC and NYSE Arca, Inc. Propose Extension of Time for Filing Uniform Termination Notice for Securities Industry Registration (Form U5)

NYSE MKT LLC and NYSE Arca, Inc. have submitted a proposed rule change to extend the time frame for filing a Uniform Termination Notice for Securities Industry Registration, also known as Form U5, which is used to notify the relevant authorities of a member's or member organization's intention to terminate their registration with the Securities and Exchange Commission (SEC). The proposed rule change aims to provide more time for members and member organizations to comply with this requirement.