| Nasdaq - SelectNet |
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4/15/98
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Submitted by Lloyd H. Feller, Esq., Morgan, Lewis & Bockius
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| Nasdaq IM-4613 - Autoquoting Restrictions |
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4/30/03
1
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Submitted by Shane Swanson, Automated Trading Desk Financial Services, LLC
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4/30/03
1
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Submitted by Paul L. Fitzgerald, Goldman, Sachs & Co.
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4/30/03
1
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Submitted by Leonard J. Amoruso, Knight Securities
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4/30/03
1
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Submitted by Michael Corrao, Schwab Capital Markets
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4/30/03
1
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Submitted by Richard McDonald, Susquehanna Capital Group
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4/30/03
1
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Submitted by David M. Battan, Timber Hill LLC
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3/20/03
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Submitted by David M. Battan, Timber Hill LLC
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3/20/03
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Submitted by Richard McDonald, Susquehanna Capital Group
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3/20/03
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Submitted by Michael Corrao, Schwab Capital Markets
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3/20/03
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Submitted by Leonard J. Amoruso, Knight Securities
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3/20/03
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Submitted by Paul L. Fitzgerald, Goldman, Sachs & Co.
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3/20/03
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Submitted by Shane E. Swanson, Automated Trading Desk Financial Services, LLC
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3/5/03
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Submitted by Shane E. Swanson, Automated Trading Desk Financial Services, LLC
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2/28/03
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Submitted by David M. Battan, Timber Hill LLC
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2/28/03
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Submitted by Richard McDonald, Susquehanna Capital Group
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2/28/03
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Submitted by Leonard J. Amoruso, Knight Securities
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2/28/03
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Submitted by Paul L. Fitzgerald, Goldman, Sachs & Co.
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11/25/02
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Submitted by David M. Battan, Timber Hill LLC
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11/25/02
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Submitted by Richard McDonald, Susquehanna Capital Group
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11/25/02
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Submitted by Paul L. Fitzgerald, Goldman, Sachs & Co.
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10/24/02
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Submitted by Paul L. Fitzgerald, Goldman, Sachs & Co.
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10/11/02
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Submitted by David M. Battan, Timber Hill LLC
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10/11/02
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Submitted by Richard McDonald, Susquehanna Capital Group
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9/4/02
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Submitted by Leonard J. Amoruso, Knight Securities
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9/4/02
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Submitted by Paul L. Fitzgerald, Goldman, Sachs & Co.
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6/10/02
1
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Submitted by Cameron Smith, Island Execution Services, LLC
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6/10/02
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Submitted by Richard J. McDonald, Susquehanna Capital Group
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6/10/02
1
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Submitted by Thomas Peterffy, Timber Hill LLC
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4/23/02
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Submitted by Richard J. McDonald, Susquehanna Capital Group
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11/14/01
1
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Submitted by Thomas Peterffy, Timber Hill LLC
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| |
| NASD Rule 6150 - ACT Risk Management Functions |
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3/8/99
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Submitted by Robert H. Stanley, B-Trade Services
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| |
| NASD Rule 6200 Series - Trade Reporting and Compliance Engine (TRACE) |
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7/11/03
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Submitted by Mustafa Fazel, National Financial Services, LLC
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5/19/03
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Submitted by James Hermann, William Blair & Company, LLC
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3/18/03
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Submitted by Alice Yau, J.P. Morgan Securities, Inc.
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11/13/02
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Submitted by Dennis C. Hensley, Sidley Austin Brown and Wood LLP
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11/13/02
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Submitted by Danny Ho, Commerzbank Securities
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| NASD Rule 6500 Series - OTC Bulletin Board Service |
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12/17/99
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Submitted by Merrill E. Weber, Red Oak Financial Corporation
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| NASD Rules 6950-6957 (OATS) |
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5/28/08
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Submitted by Mr. Julian Rainero, Bracewell & Giuliani LLP
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12/19/07
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Submitted by Mr. Julian Rainero, Bracewell & Giuliani LLP
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4/4/03
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Submitted by Adam Zentner, Credit Suisse First Boston (Europe) Limited
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4/3/03
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Submitted by Jess Haberman, royalblue financial corporation
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2/26/02
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Submitted by Christian M. Camerino, ABN AMRO Securities, LLC
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3/8/99
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Submitted by Jess L. Haberman, Automated Securities Clearance, Ltd.
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1/6/99
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Submitted by Jack Hodges, William O'Neil + Co, Inc.
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10/27/98
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Submitted by Jack Hodges, William O'Neil + Co, Inc.
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7/30/98
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Submitted by Charles R. Hood, Instinet Corporation
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7/17/98
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Name Not Public
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7/2/98
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Submitted by Kenneth E. Leopold, Neuberger & Berman, LLC
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