|
|
 |
|
Denial of Access Notifications |
ADF Operations receives and posts Denial of Access Notifications, pursuant to Rule 4300A(a)(6) to ensure that securities firms have adequate time to make other routing or access arrangements, if necessary. The posting of this intent to deny access has no bearing on the merits of any claim between the ADF Trading Center and any affected broker-dealer, nor will it insulate the ADF Trading Center from potential liability for violations of FINRA rules or the federal securities laws should it be determined that the denial of access was inappropriate. For more information relating to this notice requirement, please see Notice to Members 04-68 and SR-NASD-2004-002.
|
