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Alerts and Notices Regulatory Notices

Regulatory Notice 21-03: Waiver of Requirement for Certain Members to Provide Broker-Dealer Annual Reports (Including Audited Financials) to MEMX

Date: February 4, 2021

Description: Waiver of Requirement for Members for Which MEMX is Not the DEA to Provide Broker-Dealer Annual Reports (Including Audited Financials) to MEMX