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Expert Analysis

10 Years On, SEC's Market Access Rule Still Lacks Clarity

By Ashley Bashur and Paul Eckert ( October 8, 2021, 2:27 PM EDT) -- The first 10 years of the U.S. Securities and Exchange Commission's Rule 15c3-5, known as the market access rule,[1] have been a textbook example of the principle of regulation by enforcement, resulting in an informal patchwork of guidance, mostly led by decentralized self-regulatory organizations, or SROs, and the payment of approximately $80 million in fines....

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