17 C.F.R. § 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
Title 17 - Commodity and Securities Exchanges
Any transaction by a New York Stock Exchange registered competitive market maker or an American Stock Exchange registered equity market maker effected in compliance with their respective governing rules shall be deemed to be of a kind which is consistent with the purposes of section 11(a)(1) of the Act, the protection of investors, and the maintenance of fair and orderly markets. [46 FR 14889, Mar. 3, 1981]
Title 17: Commodity and Securities Exchanges
PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934
Adoption of Floor Trading Regulation (Rule 11a–1)
§ 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
