Final Rule

Order Execution Obligations

Overview

The Securities and Exchange Commission is revising: (1) The effective date of Rule 11Ac1-4 ("Limit Order Display Rule') and amendments to Rule 11Ac1-1 ("ECN Amendment' to the "Quote Rule') from January 10 to January 13, 1997; (2) the effective date of the amendment to subsection (a)(25)(ii) of the Quote Rule ("Subject Security Definition') to April 10, 1997; and (3) the compliance dates of the ECN Amendment with respect to most over-the-counter ("OTC') securities.

Last Reviewed or Updated: Jan. 2, 1997

Resources

Final Rule: SEC Issued Version (txt 10.93 KB)
Final Rule: Federal Register Version

Details

File Number
S7-30-95
Rule Type
Final
Release Number
34-38110
SEC Issue Date
Effective Date

for Order Execution Rules - January 13, 1997; for Subject Security Definition in Quote Rule - Apr. 10, 1997; for ECN Amendment phase in - January 13, January 31, Feb. 21,and Mar. 28, 1997

Compliance Date

Order Execution Obligations

Federal Register Publish Date
Document Citation

62 FR 1279

RIN
3235-AG66