Market Access - Relevant Links

Entity	Description
SEC	Sep 29, 2011: SEC Staff Issues Risk Alert on Master/Sub-Account Risks Jun 27, 2011: SEC Extension of Deadline for Certain Rule 15c3-5 Requirements Nov 03, 2010: SEC Adopts New Rule Preventing Unfiltered Market Access Nov 03, 2010: Release No. 34-63241 - Risk Management Controls for Brokers or Dealers with Market Access SEC List of Alternate Trading Systems
FIF	May 04, 2011: FIF Market Access WG Meeting with SEC Apr 15, 2011: FIF Comment Letter to SEC on the Market Access Rule Apr 05, 2011: FIF Suggested Questions for SEC FAQs Apr 05, 2011: FIF Market Access Rule Phased Implementation Discussion Mar 29, 2011: FIF Market Access WG - Implementation Tracking v4
Exchanges	Jun 20, 2011: Exchange Routing Broker Extension Request
BATS Exchange	Nov 7, 2011: BATS Introduces Aggregated Credit Limit Risk Management Support Effective Immediately Jul 18, 2011: SR-BATS-2011-021 - Approval of Proposed Rule Change to Make Certain Changes Consistent with the Upcoming Implementation of the Market Access Rule Jul 12, 2011: BATS Adds Fat Finger Protection to Sponsored Access Controls Jul 11, 2011: Rescission of Request for Routing Addendum Related to Market Access Rule Jul 07, 2011: BATS Market Access Order Behavior Update Jun 29, 2011: BATS Trading Routing Agreement Addendum Related to Market Access Rule
CBOE	Jul 05, 2011: CBOE RG11-085, C2 RG11-009 - New SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access Limited Extension of Compliance Date May 26, 2011: CBOE RG11-065, C2 RG11-04 - New SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access
Chicago Stock Exchange	Jul 18, 2011: MR-11-10 - SEC Market Access Rule (“MAR”) Updates - Rule 15c3-5 under the Securities and Exchange Act of 1934
Direct Edge	Nov 30, 2011: Market Access Rule - Regulatory Notice 11-01 Jul 13, 2011: Direct Edge Market Access Error Checks Jul 11, 2011: Market Access Routing Addendum and Related Policies and Procedures No Longer Required Jul 05, 2011: Request For Written Supervisory Policies And Procedures Pursuant To New SEC Rule 15c3-5 Jul 01, 2011: Direct Edge Routing Agreement Addendum Related to Market Access Rule
NASDAQ(NASDAQ, NASDAQ OMX BX, and NASDAQ OMX PSX)	Nov 30, 2011: ETA #60 - NASDAQ, BX and PSX Implement Market Access Rule Credit Limits for Routable Orders Jul 11, 2011: OTA #2011-33, ETA #2011-36 - NASDAQ Rescinds Request for Routing Addendum Related to Market Access Rule Jul 01, 2011: ETA #2011-35, OTA #2011-32 - NASDAQ OMX U.S. Services Agreement Addendum Pursuant to the SEC Market Access Rule 15c3-5 Jul 01, 2011: NASDAQ Addendum to U.S. Services Agreement Jun 16, 2011: ORA #2011-11, ERA #2011-5 - PHLX and NOM Remind Members of SEC Rule 15c3-5 Supervision of Market Access Apr 20, 2011: ERA #2011-3 - Update on The NASDAQ Stock Market’s Modified Sponsored Access Rule
NYSE (NYSE, NYSE Amex and NYSE Arca)	Nov 30, 2011: Market Access Rule Credit Limits (SEC Rule 15c3-5) Jul 18, 2011: SR-NYSE-2011-34 - Approval to Amend NYSE Rule 17 to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent with the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 Jul 11, 2011: Important Update Re: Market Access Compliance And Related Documentation Jul 08, 2011: NYSE Arca - Additional Information Regarding Compliance With New SEC Rules On Market Access Jun 30, 2011: NYSE Arca Important Notice Regarding Compliance With New SEC Rules On Market Access Jun 30, 2011: NYSE Arca ETP Holder Notice Jun 30, 2011: NYSE Arca Request for Policies & Procedures Jun 30, 2011: NYSE Arca Routing Agreement Addendum Jun 28, 2011: Trader Update - Update On Sec Rule 15c3-5 Governing Supervision Of Market Access May 26, 2011: Info Memo 11-13 - New SEC Rule 15c3-5 Governing Supervision of Market Access May 13, 2011: RB-11-63 - New SEC Rule 15c3-5 Governing Supervision of Market Access

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