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Wednesday, April 20, 2011

Equity Regulatory Alert #2011 - 3
Update on The NASDAQ Stock Market’s Modified Sponsored Access Rule

Markets Impacted:

Contact Information:

What you need to know:

  • The NASDAQ Stock Market® (NASDAQ®) has filed to modify NASDAQ Rule 4611 in light of Securities and Exchange Commission (SEC) Market Access Rule 15c3-5.
  • Firms do not need to make any changes, as current paperwork requirements remain the same as announced in Equity Regulatory Alert #2010-12.

What has been announced?

Consistent with its previously announced intent, NASDAQ has filed to modify NASDAQ Rule 4611 in light of SEC Market Access Rule 15c3-5.

Do I need to do anything differently?

No, current paperwork requirements remain the same as announced in Equity Regulatory Alert #2010-12.

Where can I find additional information?


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