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Regulatory Release

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity

Details

Rule Type

Notice

Release Number

34-69104

SEC Issue Date

March 11, 2013 | 3:09 pm ET

Federal Register Publish Date

March 15, 2013 | 12:10 am ET

Document Citation

78 FR 16556

Resources

34-69104

Federal Register Version

SRO Organization

NYSE MKT (NYSEMKT)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity

Details

Resources