The SEC called on exchanges and market participants to submit "innovative" proposals intended to improve the secondary market structure for exchange-listed equity securities traded in low volumes.
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The SEC granted BATS BYX-Exchange, Inc. limited exemptive relief from the "Sub-Penny Rule" and approved the one-year adoption of the Exchange’s Retail Price Improvement Program.
The SEC Office of Investor Education and Advocacy outlined factors for investors to consider before investing in microcap stocks in the first installment of a 3-part Investor Bulletin.