Market regulation · 26/02/2026Updated: 10/16/2026 · 1 min read
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
Summary
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.
Original source language: Federal Register — SECOpen original release →