Letter of Consent; BZX Rules 3.2 - Violations Prohibited and 5.1 - Written Procedures; Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access, promulgated under the Securities Exchange Act of 1934, as amended
Letter of Consent; BZX Rules 11.19(a) - Short Sales, 11.21 - Input of Accurate Information, 3.2 - Violations Prohibited, 4.1 - Requirements, 5.1 - Written Procedures; Section 17(a) of the Exchange Act and Exchange Act Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers; and Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access
Letter of Consent; BZX Rules 3.2 - Violations Prohibited, 5.1 - Written Procedures, and 11.9(d) - Orders and Modifiers, Intermarket Sweep Orders; Rule 611 of Regulation NMS - Order Protection Rule, promulgated under the Securities Exchange Act of 1934, as amended.
Letter of Consent; BZX Rules 3.2 - Violations Prohibited; 5.1 - Written Procedures; 11.9 - Orders and Modifiers; and 11.20 - Locking or Crossing Quotations in NMS Stocks; Rule 611(c) of Regulation NMS - Order Protection Rule and Rule 15c3-5 - Risk Management Controls for Brokers and Dealers with Market Access, promulgated under the Securities Exchange Act of 1934, as amended.
Letter of Consent; BZX Rules 18.1 - Adherence to Law and 5.1 - Written Procedures; Rule 14e-4 - Prohibited Transactions in Connection with Partial Tender Offers, promulgated under the Securities Exchange Act of 1934, as amended
Letter of Consent; BZX Rules 11.19(a) - Short Sales; 3.2 - Violations Prohibited; 4.1 - Requirements; 5.1 - Written Procedures; Section 17(a) of the Exchange Act and Exchange Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers; and Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access