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Code of Federal Regulations (Last Updated: October 10, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II - Securities and Exchange Commission |
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Part 240 - General Rules and Regulations, Securities Exchange Act of 1934 |
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Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934 |
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Adoption of Floor Trading Regulation (Rule 11a-1) |
§ 240.11a1-5 - Transactions by registered competitive market makers and registered equity market makers.
Latest version.
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§ 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
Any transaction by a New York Stock Exchange registered competitive market maker or an American Stock Exchange registered equity market maker effected in compliance with their respective governing rules shall be deemed to be of a kind which is consistent with the purposes of section 11(a)(1) of the Act, the protection of investors, and the maintenance of fair and orderly markets.
[46 FR 14889, Mar. 3, 1981]