17 CFR 240.11a-1 - Regulation of floor trading

Cite as17 CFR 240.11a-1
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24 practice notes
  • Landy v. Federal Deposit Insurance Corporation, No. 72-1202 to 72-1204.
    • United States
    • U.S. Court of Appeals — Third Circuit
    • July 30, 1973
    ...exchanges to adopt rules governing specialists, 17 C.F.R. § 240.11b-1 (1970), or rule 11a-1 requiring certain floor trading rules, 17 C.F.R. § 240.11a-1 (1970). Examples of (b)-type rules would be rules which fall within the gambit of § 19(b) of the Exchange Act which permits the SEC to alt......
  • Mfs Securities Corp. v. S.E.C., Docket No. 03-4882.
    • United States
    • U.S. Court of Appeals — Second Circuit
    • August 16, 2004
    ...they had an interest in violation of Section 11(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78k(a)(1), and SEC Rule 11a-1, 17 C.F.R. § 240.11a-1. On the same day, they were summarily suspended from Exchange membership. As far as we can tell from the record, the Savarese brothers ......
  • D'Alessio v. S.E.C., Docket No. 03-4883.
    • United States
    • United States Courts of Appeals. United States Court of Appeals (2nd Circuit)
    • August 16, 2004
    ...or sold, the total amount of any security to be bought or sold, or whether any such transaction shall be one of purchase or sale. 17 C.F.R. § 240.11a-1(a). 5. During the early 1990s, while William Donaldson was Exchange Chairman, the Exchange was aware of certain profit-sharing arrangements......
  • Sacks v. Reynolds Securities, Inc., No. 77-1775
    • United States
    • United States Courts of Appeals. United States Court of Appeals (District of Columbia)
    • December 19, 1978
    ...19(b) of the Act, 15 U.S.C. § 78s(b) (1976), to modify if inadequate; (3) those adopted pursuant to Commission regulation, See 17 C.F.R. § 240.11a-1(7) (1977); 17 C.F.R. § 240.15c3-1(b)(2) (1977); or (4) those enacted at the suggestion of the Commission, See Independent Broker-Dealers' Trad......
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11 cases
  • Landy v. Federal Deposit Insurance Corporation, No. 72-1202 to 72-1204.
    • United States
    • U.S. Court of Appeals — Third Circuit
    • July 30, 1973
    ...exchanges to adopt rules governing specialists, 17 C.F.R. § 240.11b-1 (1970), or rule 11a-1 requiring certain floor trading rules, 17 C.F.R. § 240.11a-1 (1970). Examples of (b)-type rules would be rules which fall within the gambit of § 19(b) of the Exchange Act which permits the SEC to alt......
  • Mfs Securities Corp. v. S.E.C., Docket No. 03-4882.
    • United States
    • U.S. Court of Appeals — Second Circuit
    • August 16, 2004
    ...they had an interest in violation of Section 11(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78k(a)(1), and SEC Rule 11a-1, 17 C.F.R. § 240.11a-1. On the same day, they were summarily suspended from Exchange membership. As far as we can tell from the record, the Savarese brothers ......
  • D'Alessio v. S.E.C., Docket No. 03-4883.
    • United States
    • United States Courts of Appeals. United States Court of Appeals (2nd Circuit)
    • August 16, 2004
    ...or sold, the total amount of any security to be bought or sold, or whether any such transaction shall be one of purchase or sale. 17 C.F.R. § 240.11a-1(a). 5. During the early 1990s, while William Donaldson was Exchange Chairman, the Exchange was aware of certain profit-sharing arrangements......
  • Sacks v. Reynolds Securities, Inc., No. 77-1775
    • United States
    • United States Courts of Appeals. United States Court of Appeals (District of Columbia)
    • December 19, 1978
    ...19(b) of the Act, 15 U.S.C. § 78s(b) (1976), to modify if inadequate; (3) those adopted pursuant to Commission regulation, See 17 C.F.R. § 240.11a-1(7) (1977); 17 C.F.R. § 240.15c3-1(b)(2) (1977); or (4) those enacted at the suggestion of the Commission, See Independent Broker-Dealers' Trad......
  • Request a trial to view additional results

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