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order disclosure

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RELATED LINKS

Nasdaq Stock Market Inc. Letters

• Letter to Securities and Exchange Commission Requesting Interpretive Guidance and Exemptions from Exchange Act Rule 11Ac1-5 for SelectNet and SuperMontage Transactions - pdf 4.0 - June 4, 2002

SEC Comments & Regulatory Updates

• Letter to Nasdaq Stock Market Requesting Interpretive Guidance and Exemptions from Exchange Act Rule 11Ac1-5 for SelectNet and SuperMontage Transactions - pdf 4.0 - June 4, 2002
• SEC Issues Staff Updated Legal Bulletin Regarding Rule 11Ac1-6 -- October 18, 2001
  • Frequently Asked Questions About Rule 11Ac1-6
  • Example of Format for Rule 11Ac1-6 Quarterly Report
• How to Find Information on Order Execution and Routing Practices - August 1, 2001
  
• SEC Interpretive Guidance on Rule 11Ac1-6: Staff Legal Bulletin No. 13 - June 22, 2001
• SEC Interpretive Guidance on Rule 11Ac1-5: Staff Legal Bulletin No. 12R (Revised) - June 22, 2001
• SEC Letter to First Union Securities, Inc. on the Request for Exemption from Rule 11Ac1-6 - pdf 4.0 - June 22, 2001
• SEC Letter to Market Systems, Inc. on the Request for Exemption under Rule 11Ac1-5 - pdf 4.0 - June 22, 2001
• SEC Letter to the NASD Small Firms Advisory Board on the Request for Exemption from Rule 11Ac1-5 - pdf 4.0 - June 22, 2001
• SEC Letter to the New York Stock Exchange on the Request for Exemption under Rule 11Ac1-5 - pdf 4.0 - June 22, 2001
• SEC Letter to the Nasdaq Stock Market, Inc. on the Request for Interpretive Guidance and Exemptions under Rule 11Ac1-5 - pdf 4.0 - June 22, 2001
• SEC Order Approving Joint SRO Plan for Market Centers to Comply with R. 11Ac1-5 - pdf 4.0 - April 12, 2001
• SEC Response to the SIA Letter on Request for Temporary Exemption Under Rule 11Ac1-5 - pdf 4.0 - April 12, 2001
  • SIA Request for Temporary Exemption Under Rule 11Ac1-5 - pdf 4.0 - April 11, 2001
• SEC Division of Market Regulation:Staff Legal Bulletin No. 12 Frequently Asked Questions About Rule 11Ac1-5 - pdf 4.0 -- March 12, 2001
  • Appendix A – Text of Proposed Plan - pdf 4.0
  • Appendix B – Table with Rule 11Ac1-5 Sample Statistics for a Single Security "A" in May 2001 - pdf 4.0
• SEC Response to the SIA Letter on Rule 11Ac1-5 - pdf 4.0 -- March 12, 2001
• SEC Response to the SIA Letter on Rule 11Ac1-5 - pdf 4.0 -- March 12, 2001
  • SIA Letter on Behalf of its Member Firms in Regard to the Reporting Requirements under Rule 11Ac1-5 - pdf 4.0 -- February 28, 2001
• SEC Response to Nasdaq Request for Temporary Exemption Under Rule 11Ac1-5 - pdf 4.0 -- March 12, 2001
• Extention of the Initial Compliance Date of Rule 11Ac1-5 of the Securities Exchange Act of 1934 -- March 9, 2001
• Commission Notice: Joint Industry Plan; Notice of Filing of Proposed Plan Establishing Procedures under Rule 11Ac1-5 -- February 21, 2001
• SEC Final Rule: Disclosure of Order Execution and Routing Practices-- November 17, 2000