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Adoption of Floor Trading Regulation (Rule 11a-1) | Midpage
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Code of Federal Regulations
Title 17
Chapter II
Part 240
Subpart A
ECFR314700293fe5a4d
Adoption of Floor Trading Regulation (Rule 11a-1)
240.11a-1
Regulation of floor trading.
240.11a1-1(T)
Transactions yielding priority, parity, and precedence.
240.11a1-2
Transactions for certain accounts of associated persons of members.
240.11a1-3(T)
Bona fide hedge transactions in certain securities.
240.11a1-4(T)
Bond transactions on national securities exchanges.
240.11a1-5
Transactions by registered competitive market makers and registered equity market makers.
240.11a1-6
Transactions for certain accounts of OTC derivatives dealers.
240.11a2-2(T)
Transactions effected by exchange members through other members.