Adoption of Floor Trading Regulation (Rule 11a-1)

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter II
6. ›
7. Part 240
8. ›
9. Subpart A
10. ›
11. Subject Group Adoption of Floor Trading Regulation (Rule 11a-1)

Sections

• 240.11a-1
  § 240.11a-1 Regulation of floor trading.
• 240.11a1-1(T)
  § 240.11a1-1(T) Transactions yielding priority, parity, and precedence.
• 240.11a1-2
  § 240.11a1-2 Transactions for certain accounts of associated persons of members.
• 240.11a1-3(T)
  § 240.11a1-3(T) Bona fide hedge transactions in certain securities.
• 240.11a1-4(T)
  § 240.11a1-4(T) Bond transactions on national securities exchanges.
• 240.11a1-5
  § 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
• 240.11a1-6
  § 240.11a1-6 Transactions for certain accounts of OTC derivatives dealers.
• 240.11a2-2(T)
  § 240.11a2-2(T) Transactions effected by exchange members through other members.