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Approval Order of Exemptive Request Letter related to Customer and Account Information

On March 17, 2020, the SEC issued relief that exempts the Participants from collecting or retaining certain retail customer data, including (1) individual social security numbers or individual tax payer identification numbers; (2) dates of birth and (3) account numbers.  Instead, Industry Members would be required to report an account holder’s name, address, and birth year to the CAT.