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Order disclosure

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SIA RESOURCES

Letters / Regulatory Updates

Publications

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Letters/Regulatory Updates

• SIA Request for Temporary  Exemption Under Rule 11Ac1-6 - pdf 4.0 - September 20,  2001
• SIA Request for Temporary Exemption Under Rule 11Ac1-5 - pdf 4.0 - April 11, 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
• Market Structure Issues - Disclosure of Order Routing and Execution Practices - September 13, 2000
• SIA Comments on Proposed Rules on Order Routing and Execution - Securities Exchange Act Release 34-43084 - pdf 4.0 - September 26, 2000

 Publications

• Legal Alert - Securities and Exchange Commission Adopts Two Rules Requiring Public Disclosure of Order Execution and Routing Practices 
  • Summary of Rules 11Ac1-5 and 11Ac1-6 - January 25, 2001 
  • Phase-In Periods for Rules 11Ac1-5 and 11Ac1-6 - January 25, 2001
  • Implementation of Rules 11Ac1-5 and 11Ac1-6 - January 25, 2001