Statutory Basis. The basis under the Act for this proposed rule change is the requirement under Section 6(b)(5) that an exchange have rules that are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to ▇▇▇▇▇▇ cooperation and coordination with persons engaged in regulating, clearing, settling, processing information with respect to, and facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and national market system, and, in general, to protect investors and the public interest.
Appears in 1 contract
Sources: NRC Compliance Agreement
Statutory Basis. The basis under Exchange believes the Act for this proposed rule change is consistent with and furthers the requirement under objectives of Section 6(b)(5) of the Act,6 in that an exchange have rules that are it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to ▇▇▇▇▇▇ cooperation and coordination with persons engaged in regulating, clearing, settling, processing information with respect remove impediments to, and facilitating transactions in securities, to remove impediments to and perfect the mechanism of of, a free and open market and a national market system, and, in general, to protect investors and the public interest.. Trading and Markets, pursuant to delegated Financial Industry Regulatory
Appears in 1 contract
Sources: Rule Change
Statutory Basis. The basis under Exchange believes that the Act for this proposed rule change is consistent with Section 6(b) of the requirement under Act. 11 in general, and furthers the objectives of Section 6(b)(5) 6(b)(5),12 in particular, in that an exchange have rules that are it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to ▇▇▇▇▇▇ cooperation and coordination with persons engaged in regulating, clearing, settling, processing information with respect to, and facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and national market system, and, in general, to protect investors and the public interestdoes not permit unfair 11 15 U.S.C. 78f(b).
Appears in 1 contract
Sources: Tax Allocation Agreement