Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Adoption of Floor Trading Regulations (Rules 11a-1 to 11a2-2(T))

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Rule 11a-1 -- Regulation of Floor Trading

Rule 11a1-1(T) -- Transactions Yielding Priority, Parity, and Precedence

Rule 11a1-2 -- Transactions for Certain Accounts of Associated Persons of Members

Rule 11a1-3(T) -- Bona Fide Hedge Transactions in Certain Securities

Rule 11a1-4(T) -- Bond Transactions on National Securities Exchanges

Rule 11a1-5 -- Transactions by Registered Competitive Market Makers and Registered Equity Market Makers

Rule 11a1-6 -- Transactions for Certain Accounts of OTC Derivatives Dealers

Rule 11a2-2(T) -- Transactions Effected by Exchange Members Through Other Members

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