2010

Number Title
MR-10-08 Reminder IBRs - Annual Update of Letters on File
MR-10-07 Reminder: WSPs Trading Particpant Agreement - Letter of Purpose and Intent
MR-10-06

Regulation SHO - Alternative Uptick Test

Short Sale FAQ (PDF)
MR-10-05 Individual Stock Circuit Breakers - FAQs
MR-10-04

Net Capital Requirements for Brokers or Dealers - Intraday and Moment-to-Moment Net Capital Compliance
MR-10-03 Records of Orders Requirement – Updating Manual Receipt Time
MR-10-02 SEC QCT Exemption Criteria
MR-10-01 Reminder IBRs - Clerks Responsibilities

 

 

 

 

 

 

  

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