Section 19(g) of the Securities Exchange Act of 1934

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Section 19(g) of the Securities Exchange Act of 1934

Definition

Requires self-regulatory organizations, including  national securities exchanges and registered securities associations, to comply with the Exchange Act, the rules and regulations thereunder, and the organization’s own rules, and to enforce compliance by members and their associated persons.

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— In the Matter of New York Stock Exchange, Inc.

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