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Order Execution Obligations

SEC · other · Published 1997-04-16 · 62 FR 18514

Document

Document number
97-9713
Federal Register citation
62 FR 18514
CFR reference
17 CFR 240
Type
Rule
Action
Revised compliance dates; exemptive order.
Category
other
Agency
US Securities and Exchange Commission
Publication date
1997-04-16
Docket
Release No. 34-38490

Abstract

The Securities and Exchange Commission (``Commission''') is announcing the revised phase-in schedule for compliance with Rules 11Ac1-1(c)(5) (``ECN Amendment'' of the ``Quote Rule'') and 11Ac1-4 (``Limit Order Display Rule'') under the Securities Exchange Act of 1934 (``Exchange Act'') and is providing exemptive relief to accomodate the new schedule. In addition, the Commission is providing exemptive relief from compliance with the 1% requirement of the Quote Rule with respect to non-19c-3 securities.

Source

Authoritative
Federal Register document
Machine
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