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SEC No-Action Letter: BOX Market LLC

A broker-dealer that executes orders sent outbound from an exchange can treat such transmitting exchange as if it were itself a broker-dealer for purposes of Rule 10b-10, Regulation T, and Rule 15b9-1.

SEC No-Action LetterDate of Letter: 05/11/2012

Tags

Regulated Activities
Confirmations Registration Process
Sub-Activity
Exemption from FINRA Membership
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC