17 CFR 242.600 - NMS security designation and definitions
| Cite as | 17 CFR 242.600 |
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564 practice notes
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Security-Based Swap Data Repository Registration, Duties, and Core Principles
...Integrity, Exchange Act Release No. 73639 (Nov. 19, 2014), 79 FR 72252 (Dec. 5, 2014) (``Regulation SCI Adopting Release''). \824\ See 17 CFR 242.600 (defining ``NMS \825\ Regulation SCI Adopting Release, 79 FR at 72363-4, supra note 823. ----------------------------------------------------......
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Part III
...include reproposed Rules 610, 611, and 612 in addition to the existing NMS rules. The new rule series would be Rule 600 through Rule 612 (17 CFR 242.600-612). Reproposed Rule 600 would provide a single set of definitions that would be used throughout Regulation NMS. To create a single set o......
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Part II
...notes that new Rule 612 applies only to NMS stocks, the definition of which generally does not include stocks quoted on the OTCBB. See 17 CFR 242.600(b)(47) (defining ``NMS stock''). Therefore, Rule 612 does not require that quotations below $1.00 per share in securities quoted exclusively ......
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Regulation Systems Compliance and Integrity
...has contributed to surging message traffic.\46\ --------------------------------------------------------------------------- \38\ 17 CFR 242.600-612. See also Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, \39\ See Securities Exchange Act Release No. 42360 (J......
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8 cases
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In re Barclays Liquidity Cross & High Frequency Trading Litig., No. 14–MD–2589 (JMF).
...Act, Pub.L. No. 111–203, 124 Stat. 1376 (2010), as recognized in NetCoalition v. SEC, 715 F.3d 342 (D.C.Cir.2013) ; see also 17 C.F.R. § 242.600(b)(13). Regulation NMS also requires that exchanges and brokers immediately accept the most competitive offer for a particular stock when matching......
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Lanier v. Bats Exch., Inc., Nos. 14–cv–3745 KBF
...including Regulation NMS. SeeRegulation NMS, 70 Fed.Reg. 37,496 (June 29, 2005)[hereinafter “NMS Adopting Release”] (codified at 17 C.F.R. §§ 242.600–.613). Rule 603 of Regulation NMS requires SROs to “act jointly pursuant to one or more effective national market system plans to disseminate......
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City of Providence v. Bats Global Mkts., Inc., No. 15-3057-cv
...the national market system ... for equity securities." Regulation NMS, 70 Fed. Reg. 37,496, 37,496 (June 29, 2005) (codified at 17 C.F.R. § 242.600 et seq. ) [hereinafter " Regulation NMS"] ). The SEC emphasized that a national market system must "meet the needs of longer-term investors" be......
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Lanier v. Bats Exch., Inc., Docket No. 15-1683
...the national market system (‘NMS') for equity securities.” Regulation NMS, 70 Fed. Reg. 37496, 37496 (June 29, 2005) (codified at 17 C.F.R. § 242.600 et seq. ). Regulation NMS amended and updated regulations that had governed distribution of market data through joint plans since 1975. See i......
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14 firm's commentaries
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CFIUS Proposed Rules Target Critical Technology, Sensitive Personal Data And Real Estate
...Exchange Act of 1934 (15 U.S.C. 78f), as amended, that facilitates trading in any national market system security, as defined in 17 CFR § 242.600, as amended, and which exchange during at least four of the preceding six calendar months (a) with respect to all national market system securiti......
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Treasury Issues Long-Awaited Proposed CFIUS Regulations
...Exchange Act of 1934 (15 U.S.C. 78f), as amended, that facilitates trading in any national market system security, as defined in 17 CFR § 242.600, as amended, and which exchange during at least four of the preceding six calendar months (a) with respect to all national market system securiti......
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CFIUS Proposed Rules Target Critical Technology, Sensitive Personal Data and Real Estate
...Exchange Act of 1934 (15 U.S.C. 78f), as amended, that facilitates trading in any national market system security, as defined in 17 CFR § 242.600, as amended, and which exchange during at least four of the preceding six calendar months (a) with respect to all national market system securiti......
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US Department of the Treasury: A Financial System That Creates Economic Opportunities—Capital Markets
...Exchange Act Release No. 78309 (July 13, 2016) [81 Fed. Reg. 49431 (July 27, 2016)]. 48 TREASURY REPORT, supra note 1, at 62–63. 49 17 C.F.R. § 242.600. 50 TREASURY REPORT, supra note 1, at 63–64. 51 17 C.F.R. § 242.611. WILMER CUTLER PICKERING HALE AND DORR LLP 7 offer price.53 Treasury ob......
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