Corporate and Financial Weekly Digest - Volume XI, Issue 30

James Brady, Neil Robson
Katten Muchin Rosenman LLP
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BROKER-DEALER -

FINRA Adopts Amendments on Resumption of Trading -

The Financial Industry Regulatory Authority has adopted amendments to clarify the operation of the Regulation NMS Plan to Address Extraordinary Volatility following a trading pause or regulatory halt. FINRA rules prohibit the execution of transactions in national market system (NMS) securities during a trading pause.

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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