SEC Temporarily Exempts Floor Broker Operations from Automated Controls

Summary

The Securities and Exchange Commission (SEC) has temporarily exempted floor broker operations of broker-dealers with market access that handle orders manually from the automated controls requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) under the Securities Exchange Act of 1934.

Original source language: Federal Register — SECOpen original release →

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