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Selected Other SRO Rulemaking

We encourage the public to submit comments on the following Other SRO filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Release No. Date Details
34-46003 May 30, 2002 Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
File No.:  S7-17-00
34-46001 May 30, 2002 Joint Industry Plan; Order Granting Approval of Joint Amendments Nos. 2 and 3 to the Options Intermarket Linkage Plan Relating to Satisfaction of Trade-Throughs, the Procedures for Handling Multiple Principal Orders, Restrictions on Withdrawal, and an Implementation Timetable
File No.:  4-429
34-44188 April 17, 2001 Global Joint Venture Matching Services - US, LLC; Order Granting Exemption from Registration as a Clearing Agency
File No.: 600-32
Comments received electronically are available for this notice.
34-41003 Jan. 29, 1999 Thomson Financial Technology Services, Inc.; Notice of Filing of Application for Exemption From Registration as a Clearing Agency.
File No.: 600-31

Modified: 08/05/2020