Rules Notice - Dealers

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12-0167

List of Acceptable Trade Matching Utilities

12-0161

List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products

12-0160

List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products

12-0153

Custodial Agreements

12-0135

Request for Comments on draft guidance regarding the meaning of “date of the offering” in Requirement 14 of Dealer Member Rule 3400 – Research Restrictions and Disclosure Requirements

12-0129

List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products

12-0128

List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products

12-0123

Custodial Agreements

12-0118

List of Acceptable Trade Matching Utilities

12-0111

Plain language rule re-write project: Clean up amendments

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