Notices Subject Index – L

A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | Y

Large Options Position Reporting

09-47; 07-03

Last Sale Eligible Trades

14-46

Late Filing Fees

By-Laws Amendments; 04-09

Establishment of; 01-54

Late Payments

NASDAQ; 03-80

Lending

(see Loans)

Leverage

09-06

Licensing

06-31

Liens

15-05

Limit Orders

08-31; 07-19

Display Obligations; 10-4299-99
Display Rule; 12-3799-99
Manning Interpretation; 11-24; 05-64; 03-74; 00-70

Minimum Price Improvement; 09-14
OATS Display; 00-26
Protection Rule; 11-24; 09-15; 09-14; 08-49; 08-31; 07-19; 03-74; 01-46; 98-78; 98-05; 97-57

Limit Up/Limit Down (LULD)

13-12

Liquidation

10-03

List or Fixed Offering Price Transactions

14-34; TRN 12/21/11

Loads on Reinvested Dividends

Locked and Crossed Markets; 04-07

Public Offerings of DPPs and REITs; 08-35

Loans

Consent Agreements; 10-03

Lending and Borrowing Arrangements; 10-03

Lending Between Customers; 01-06

Locked and Crossed Markets

Loads on Reinvested Dividends; 04-07

Rule Changes; 00-29; 98-85
Rule Compliance; 00-42

Locking and Crossing Quotations

OTC Equity Securities; 10-42

Low-Priced Equity Securities

11-15