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Exemptive Rule

Order Temporarily Exempting the Floor Broker Operations of Broker-Dealers With Market Access That Handle Orders on a Manual Basis From the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) Under the Securities Exchange Act of 1934

Last Reviewed or Updated: Aug. 15, 2011

Resources

Exemptive Rule: SEC Issued Version (pdf 69.58 KB)

Exemptive Rule: Federal Register Version

Details

Rule Type

Exemptive

Release Number

34-65132

SEC Issue Date

Aug. 15, 2011

Federal Register Publish Date

Aug. 18, 2011

Document Citation

76 FR 51457

Rules & Regulations

Enforcement & Litigation

Compliance

Order Temporarily Exempting the Floor Broker Operations of Broker-Dealers With Market Access That Handle Orders on a Manual Basis From the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) Under the Securities Exchange Act of 1934

Resources

Details

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Order Temporarily Exempting the Floor Broker Operations of Broker-Dealers With Market Access That Handle Orders on a Manual Basis From the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) Under the Securities Exchange Act of 1934

Resources

Details