TSV Tier-Cap Ladder

Replays a tokenized-stock venue’s (TSV’s) daily per-symbol share volume and distinct-symbol counts, aggregated across the TSV and its declared affiliated TSVs, against the SEC TSV Exemption tier caps (FR 2026-19388, 91 FR 60174-76, condition F): Tier 1 is 75 symbols and 0.25 percent of the declared prior-month ADV, Tier 2 is 250 symbols and 2.5 percent. Applies the stepped-compliance ladder to volume breaches only: the first breach needs no action, every later breach forces an immediate three-month pause (affiliates included) whose window is emitted. Symbol-count breaches carry the order’s stated consequence but no pause, because the order states none. Evidence replay only: it never states that a venue is compliant.

Policy Mandate Export Compliance Control compliance_control Proof deferred

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TSV id (the venue being replayed)

As-of date (YYYY-MM-DD)

Affiliated TSV ids (comma-separated; volume and symbols aggregate)

Stocks JSON: [{ symbol, tier ("tier_1"|"tier_2"), prior_month_adv_shares }]; caller-declared tier and ADV, no LULD lookup; null ADV reports the stock INDETERMINATE

Daily volume JSON: [{ date, tsv_id, symbol, shares }], one row per venue per day per symbol; rows for the declared group are summed

Symbols traded JSON (optional): [{ date, tsv_id, symbol }]; derived from daily volume when omitted

Prior breaches JSON (optional): [{ symbol, date }], volume breaches recorded before the replayed window; consumes the stock’s one-time first-breach pass

Result