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Firm Quote and Trade-Through Disclosure Rules for Options

SEC · final-rule · Published 2001-10-02 · Effective 2000-12-01 · 66 FR 50103

Document

Document number
01-24575
Federal Register citation
66 FR 50103
CFR reference
17 CFR 240
Type
Rule
Action
Final rule; extension of compliance date.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2001-10-02
Effective date
2000-12-01
Docket
Release No. 34-44852

Abstract

The Securities and Exchange Commission ("Commission") is extending the compliance date for Rule 11Ac1-7 under the Securities Exchange Act of 1934 ("Exchange Act"). Rule 11Ac1-7 requires a broker-dealer to disclose to its customer when the customer's order for listed options is executed at a price inferior to a better published price, unless the transaction was effected on a market that participates in an intermarket linkage plan approved by the Commission. This rule was published on December 1, 2000 (66 FR 75439).

Source

Authoritative
Federal Register document
Machine
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