SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on NYSE MKT LLC Rulemaking

Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That "Substantially All" Orders Submitted To The Retail Liquidity Program Will Qualify As "Retail Orders"

(Release No. 34-68746; File No. SR-NYSEMKT-2013-07)


Apr. 2, 2013 Janet McGinness, EVP & Corporate Secretary, General Counsel, NYSE Euronext
Mar. 11, 2013 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA

 

 

 

 

 

 

 

http://www.sec.gov/comments/sr-nysemkt-2013-07/nysemkt201307.shtml

Modified: 04/03/2013