Thursday - October 1, 2026
SEC Staff Statement on Affiliations Between National Securities Exchanges and Broker-Dealers
October 01, 2026
WASHINGTON, Oct. 1 -- The Securities and Exchange Commission issued the following statement:

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Staff Statement on Affiliations Between National Securities Exchanges and Broker-Dealers

Division of Trading and Markets

Sept. 30, 2026

The Staff of the Division of Trading and Markets ("Staff") of the Securities and Exchange Commission ("Commission") is issuing the following statement[1] regarding the affiliation . . .

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