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Order Execution Obligations

SEC · other · Published 1997-02-12 · 62 FR 6468

Document

Document number
97-3432
Federal Register citation
62 FR 6468
CFR reference
17 CFR 240
Type
Rule
Action
Revised compliance dates; exemptive order.
Category
other
Agency
US Securities and Exchange Commission
Publication date
1997-02-12
Docket
Release No. 34-38246

Abstract

The Securities and Exchange Commission is revising the compliance dates and is providing exemptive relief to responsible brokers and dealers, electronic communications networks, exchanges, and associations with respect to certain Nasdaq securities to be phased-in under Rule 11Ac1-4 (``Limit Order Display Rule'') and amendments to Rule 11Ac1-1 (``ECN Amendment'') (cumulatively ``Order Execution Rules'').

Source

Authoritative
Federal Register document
Machine
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