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OCC Comments on Amendments to Securities Exchange Act

OCC joined NYSE Group, Nasdaq, CBOE, Chicago Stock Exchange, and ISE in a letter to leaders of the House Financial Services Committee to express opposition to legislation seeking to amend the Securities Exchange Act of 1934 ("Exchange Act") to add voting members that are not self-regulatory organizations ("SROs") to the various National Market System plans ("NMS Plans"). As noted in the letter, SROs such as ones operated by the signatories to the letter are uniquely positioned to operate NMS Plans because each SRO, unlike broker-dealers, carries the obligation to enforce compliance with the Exchange Act.

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