Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence

OMB 3235-0478

OMB 3235-0478

Rule 11a1-1(T) provides that an exchange member's proprietary order may be executed on the exchange of which the trader is a member, if, among other things: (1) the member discloses that a bid or offer for its account is for its account to any member with whom such bid or offer is placed or to whom it is communicated; (2) any such member through whom that bid or offer is communicated discloses to others participating in effecting the order that is for the account of a member; and (3) immediately before executing the order, a member (other than a specialist in such security) presenting any order for the account of a member on the exchange clearly announces or otherwise indicates to the specialist and to other members then present that he is presenting an order for the account of a member.

The latest form for Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence expires 2021-09-30 and can be found here.


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