2007

Number Title
MR-07-11 Reg SHO Updates and Reminders
MR-07-10 Retention and Supervision of Electronic Communications
MR-07-09 Validated Cross Order Entry
MR-07-08 SEC Exemptive Order for Certain Error Correction Transactions
MR-07-07 Reg SHO Sell Short Exempt Orders Change
MR-07-06 Short Interest Reporting Reminder
MR-07-05 Changes to Short Sale Regulation
MR-07-04 Short Interest Reporting Requirements
MR-07-03 Crossing Session
MR-07-02 Clerks of Institutional Brokers
MR-07-01 Reg NMS - Order Protection Rule (effective March 5, 2007)

 

 

 

 

 

Information Memos

2008
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2001