The SEC Division of Trading and Markets issued a time-limited no-action letter allowing a New York limited purpose trust company to use blockchain technology to settle equities securities trades.
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The SEC proposal to rescind certain exceptions concerning national market system plan fee changes was published in the Federal Register. Comments must be submitted by December 10, 2019.
The SEC proposed rescinding certain exceptions to national market system regulations concerning fee changes to a national market system plan.
An SEC proposal to facilitate the implementation of the Consolidated Audit Trail was published in the Federal Register.
A broker-dealer settled SEC charges for SEC charges for publishing quotes in OTC securities without conducting adequate reviews.