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

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Rules and Regulations Under the Securities Exchange Act of 1934
  7. Adoption of Floor Trading Regulation (Rule 11a-1)

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Section
240.11a-1

Regulation of floor trading.

Section
240.11a1-1(T)

Transactions yielding priority, parity, and precedence.

Section
240.11a1-2

Transactions for certain accounts of associated persons of members.

Section
240.11a1-3(T)

Bona fide hedge transactions in certain securities.

Section
240.11a1-4(T)

Bond transactions on national securities exchanges.

Section
240.11a1-5

Transactions by registered competitive market makers and registered equity market makers.

Section
240.11a1-6

Transactions for certain accounts of OTC derivatives dealers.

Section
240.11a2-2(T)

Transactions effected by exchange members through other members.