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No-Action Requests › Securities and Exchange Commission (SEC) › Books & Records

Mayer Brown Free Writings + Perspectives

SEC Grants No-Action Relief from Rule 17a-4 for Reliance on Central Registration Depository System to Maintain Electronically...

Mayer Brown Free Writings + Perspectives on

On September 5, 2025, the Staff of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (“SEC”) granted no-action relief that allows members of the Financial Industry Regulatory Authority, Inc....more

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