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Statute
 Exchange
Act § 11(a)
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SEC Rules
Rule
11a-1 Regulation of Floor Trading- 11a-1
- 29 FR 7381, June 6, 1964
62 FR 520, 544, Jan, 3, 1997
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Rule
11a1-1(T) Priority, Parity, and Precedence
- 11a1-1(T)
- 43 FR 11553, Mar. 17, 1978
43 FR 18562, May 1, 1978
44 FR 6093, Jan. 31, 1979 |
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Rule
11a1-2 Associated Persons of Members SEC_CODE_REF_0090001192884
- Rule text
- 43 FR 11553, Mar. 17, 1978
43 FR 14451, Apr. 6, 1978 |
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Rule
11a1-3(T) Bona Fide Hedge Transactions |
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Rule
11a1-4(T) Bond Transactions |
Rule
11a1-5 Registered Competitive Market Makers
- 11a1-5
- 46 FR 14889, Mar. 3, 1981
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Rule
11a1-6 OTC Derivatives Dealers- 11a1-6
- 63 FR 59362, 59396, Nov. 3, 1998
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Rule
11a2-2(T) Transactions Through Other Members- 11a2-2(T)
- 43 FR 11554, Mar. 17, 1978
43 FR 18562, May 1, 1978
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