Skip to content
New issue

Have a question about this project? Sign up for a free GitHub account to open an issue and contact its maintainers and the community.

Sign up for GitHub

By clicking “Sign up for GitHub”, you agree to our terms of service and privacy statement. We’ll occasionally send you account related emails.

Already on GitHub? Sign in to your account

Jump to bottom

⚖ 2003-era SRO governance adjustments #15

Open
JFWooten4 opened this issue Dec 31, 2024 · 0 comments
Open

⚖ 2003-era SRO governance adjustments #15

JFWooten4 opened this issue Dec 31, 2024 · 0 comments

Comments

@JFWooten4
Copy link
Member

From #13, we ought address the outstanding items from S7-11-03, S7-39-04, and S7-40-04 inter alia.1

This is around when the SROs started having their rules reviewed by staff to enforce securities laws, rather than enacting their own preference with retroactive oversight.

Footnotes

  1. See laptop hardcopies at 1/3. ↩
Sign up for free to join this conversation on GitHub. Already have an account? Sign in to comment
Assignees
No one assigned
Labels
None yet
Projects
Organization Issues
Status: Backlog
Transfer Agent Regulations
Status: Pending (TAR2)
Milestone
No milestone
Development

No branches or pull requests
1 participant
@JFWooten4