1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
  6. 17 CFR Topic
17 CFR Topic
Adoption of Floor Trading Regulation (Rule 11a-1)
April 15, 2021
§
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
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Topic Requirements Under Section 10C
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Topic Adoption of Regulation on Conduct of Specialists

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