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Regulatory Release

Notice of Filing of Proposed Rule Change To Impose Certain Requirements on Exchange-Registered Institutional Broker Firms That Operate a Separate Non-Institutional Broker Unit Within the Firm

Details

Rule Type

Notice

Release Number

34-65035

SEC Issue Date

Aug. 4, 2011 | 3:14 pm ET

Federal Register Publish Date

Aug. 10, 2011 | 12:19 am ET

Document Citation

76 FR 49520

Resources

34-65035

Federal Register Version

SRO Organization

Chicago Stock Exchange, Inc. (CHX)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change To Impose Certain Requirements on Exchange-Registered Institutional Broker Firms That Operate a Separate Non-Institutional Broker Unit Within the Firm

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change To Impose Certain Requirements on Exchange-Registered Institutional Broker Firms That Operate a Separate Non-Institutional Broker Unit Within the Firm

Details

Resources