Market Access - Relevant Links

Entity Description
SEC
FIF
Exchanges
BATS Exchange
CBOE
  • Jul 05, 2011: CBOE RG11-085, C2 RG11-009 - New SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access Limited Extension of Compliance Date
  • May 26, 2011: CBOE RG11-065, C2 RG11-04 - New SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access
Chicago Stock Exchange
  • Jul 18, 2011: MR-11-10 - SEC Market Access Rule (“MAR”) Updates - Rule 15c3-5 under the Securities and Exchange Act of 1934 
Direct Edge
NASDAQ(NASDAQ, NASDAQ OMX BX, and NASDAQ OMX PSX)
NYSE (NYSE, NYSE Amex and NYSE Arca)

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