Brigagliano, James; Campion, Kevin; Katz, David; Blake, … - In: Journal of Investment Compliance 13 (2012) 4, pp. 18-24
Purpose – The purpose of this paper is to explain the requirements of SEC Rule 613 under the Securities Exchange Act of 1934, which requires national securities exchanges and FINRA jointly to develop a national market system plan (NMS Plan) that provides for the creation, implementation and...