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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NYSE Provides Access on DMM Trade Info
May 24, 2012
NYSE-Regulation issued advice to NYSE and NYSE MKT designated market makers, or DMMs, as to how their Floor-based employees may obtain information on the member firm's trading. On the Floor of the Exchange, employees and associated persons may access "page-of-book" functionality within the Display Book system for the sole purpose to access information about the DMM unit's own trading in securities registered to the DMM unit.
DMM unit Floor-based personnel may only access such information by using the "Fast Find ~ Prin" functionality on the Display Book keyboard.
DMM member organizations are reminded that until further notice, all other access to the "page-of-book" functionality within the Display Book system continues to be prohibited. [Refer to IM 11-3, 1/18/11, for details]
NYSE Staff Contacts. Direct regulatory questions to: VP Clare Saperstein, NYSE-Reg, 212.656.2355; and Chief Counsel David De Gregorio, NYSE-Reg, 212.656.4166. Direct operational questions to: VP Michael Rutigliano, NYSE Operations, 212.656.4679; and Bus. Syst. Analyst Frank DeGarcia, NYSE Operations, 212.656.4650.
For further details, go to: [NYSE Member Edu. Bulletin 12-5, 5/22/12].
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