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Securities Lawyer's Deskbook

Securities Lawyer's Deskbook
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  • The Deskbook–Table of Contents
    • The Securities Acts and General Regulations
      • Securities Act of 1933
        • General rules and regulations promulgated under the Securities Act of 1933 (17 CFR Part 230)
        • Forms prescribed under the Securities Act of 1933
      • Securities Exchange Act of 1934
        • General rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240)
        • Forms prescribed under the Securities Exchange Act of 1934
      • Investment Company Act of 1940
        • Rules and regulations promulgated under the Investment Company Act of 1940 (17 CFR Part 270)
        • Forms prescribed under the Investment Company Act of 1940
      • Investment Advisers Act of 1940
        • Rules and regulations promulgated under the Investment Advisers Act of 1940 (17 CFR Part 275)
        • Forms prescribed under the Investment Advisers Act of 1940
      • Sarbanes-Oxley Act of 2002
      • Dodd-Frank Wall Street Reform And Consumer Protection Act
    • Regulations Under the Acts
      • Regulation ATS (17 CFR 242.300)
      • Regulation R (17 CFR Part 247)
      • Regulation S-K (17 CFR Part 229)
      • Regulation S-X (17 CFR Part 210)
        • Article 1 — Application of Regulation S-X
        • Article 10 — Interim Financial Statements
        • Article 11 — Pro-Forma Financial Information
        • Article 12 — Form and Content of Schedules
        • Article 2 — Qualifications and Reports of Accountants
        • Article 3 — General Instructions as to Financial Statements
        • Article 3A — Consolidated and Combined Financial Statements
        • Article 4 — Rules of General Application
        • Article 5 — Commercial and Industrial Companies
        • Article 6 — Registered Investment Companies
        • Article 6A– Employee Stock Purchase, Savings and Similar Plans
        • Article 7 — Insurance Companies
        • Article 8 — Financial Statements of Smaller Reporting Companies
        • Article 9 — Bank Holding Companies
      • Regulation SBSR (17 CFR 242.900 et seq.)
      • Regulation M-A (17 CFR 229.1000 et seq.)
      • Regulation AB (17 CFR 229.1100 et seq.)
      • Regulation M (17 CFR 242.100)
      • Regulation S-T (17 CFR Part 232)
      • Regulation SHO (17 CFR 242.200 et seq.)
      • Regulation AC (17 CFR 242.500 et seq.)
      • Regulation NMS (17 CFR Part 242.600 et seq.)
      • Regulation FD (17 CFR Part 243)
      • Regulation BTR (17 CFR Part 245)
      • Regulation G (17 CFR Part 244)
      • Regulation RR – Credit Risk Retention (17 CFR Part 246)
      • Regulation S-P, S-AM, AND S-IDS-P (17 CFR Part 248)
    • Standards of Professional Conduct for Attorneys (17 CFR Part 205)
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Home→The Deskbook–Table of Contents→Regulations Under the Acts→Regulation NMS (17 CFR Part 242.600 et seq.)

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Regulation NMS (17 CFR Part 242.600 et seq.)

Regulation of the National Market System

Rule 600 — NMS security designation and definitions.

Rule 601 — Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.

Rule 602 — Dissemination of quotations in NMS securities.

Rule 603 — Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks.

Rule 604 — Display of customer limit orders.

Rule 605 — Disclosure of order execution information.

Rule 606 — Disclosure of order routing information.

Rule 607 — Customer account statements.

Rule 608 — Filing and amendment of national market system plans.

Rule 609 — Registration of securities information processors: form of application and amendments.

Rule 610 — Access to quotations.

Rule 610T — Equity transaction fee pilot.

Rule 611 —  Order protection rule.

Rule 612 — Minimum pricing increment.

Rule 613 — Consolidated audit trail.

Rule 614 — Registration and responsibilities of competing consolidators.

UC Notice of Non-Discrimination
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