General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 19c-1 -- Governing Certain Off-Board Agency Transactions by Members of National Securities Exchanges
The rules of each national securities exchange shall provide as follows:
No rule, stated policy, or practice of this exchange
shall prohibit or condition, or be construed to prohibit or condition or otherwise
limit, directly or indirectly, the ability of any member acting as agent to effect
any transaction otherwise than on this exchange with another person (except when
such member also is acting as agent for such other person in such transaction), in
any equity security listed on this exchange or to which unlisted trading privileges
on this exchange have been extended.
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with the understanding that the University of Cincinnati College
of Law is not engaged in rendering legal, accounting or other professional
services. If legal advice or other expert assistance is required,
the services of a competent professional person should be sought. See Terms and Conditions of Use.
