Market regulation · 26/02/2026

Amended and Restated 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 of Less Than $100 Million and Total Assets of Less Than $1 Billion

The Securities and Exchange Commission granted an exemption to certain broker-dealers with less than $100 million in capital and less than $1 billion in total assets from Rule 17h-1T and Rule 17h-2T under Section 17(h)(4) of the Securities Exchange Act of 1934.