Blanc, Roger D.; Schloendorn, Daniel; Kramer, Howard L.; … - In: Journal of Investment Compliance 12 (2011) 4, pp. 31-39
transactions in NMS securities. The Rule also requires US‐registered broker‐dealers to provide to the SEC, on request, data on …‐registered broker‐dealers to maintain books and records, and perform certain monitoring functions, with respect to these transactions … participants, which include US‐ registered broker‐dealers as well as other persons within the Rule's definition of large trader, to …