Rule 11a1-1(T) provides that an exchange member's proprietary order may be executed on the exchange of which the trader is a member, if, among other things: (1) the member discloses that a bid or offer for its account is for its account to any member with whom such bid or offer is placed or to whom it is communicated; (2) any such member through whom that bid or offer is communicated discloses to others participating in effecting the order that is for the account of a member; and (3) immediately before executing the order, a member (other than a specialist in such security) presenting any order for the account of a member on the exchange clearly announces or otherwise indicates to the specialist and to other members then present that he is presenting an order for the account of a member.
The latest form for Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence expires 2021-09-30 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
Approved without change |
Extension without change of a currently approved collection | 2024-05-06 | |
Approved without change |
Extension without change of a currently approved collection | 2021-06-09 | |
Approved without change |
Extension without change of a currently approved collection | 2018-07-19 | |
Approved without change |
Extension without change of a currently approved collection | 2015-03-25 | |
Approved without change |
Extension without change of a currently approved collection | 2012-01-03 | |
Approved without change |
Extension without change of a currently approved collection | 2008-12-15 | |
Approved without change |
Extension without change of a currently approved collection | 2006-02-07 | |
Approved without change |
Extension without change of a currently approved collection | 2002-12-20 | |
Approved without change |
Extension without change of a currently approved collection | 1999-10-05 | |
Approved without change |
Existing collection in use without an OMB Control Number | 1996-11-20 |