Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Regulatory Release

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

Details

Rule Type

Notice

Release Number

34-68746

SEC Issue Date

Jan. 28, 2013 | 2:09 pm ET

Federal Register Publish Date

Feb. 4, 2013 | 12:10 am ET

Document Citation

78 FR 7842

Resources

Rel. No. 34-68746

Federal Register Version

SRO Organization

NYSE MKT (NYSEMKT)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

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

Details

Resources

More in this Section

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

Details

Resources