Stop Quotation Order Guidelines Under FINRA Regulatory Notice 12-50

STOCKBROKER LAW - Posted on April 2, 2013

Regulatory Notice
12-50 defines other alternative order
types, such as a “stop quotation order” or “stop quote order” or an alternative
order type that triggers transactions using a quotation at the stop price,
which requires separate written disclosures to the customer in paper or
electronic form prior to the placement of such alternative orders, including a
description of any such alternative order type and a specific description of
the triggering event.

We offer a free initial consultation
to investors who feel
they have been victimized as a result of failure to implement stop order or
stop limit order instructions in their accounts.

The Law Offices of
Timothy J. O’Connor is one of the only law firms practicing securities law in
the Tri-City Capital District of Albany,
Schenectady and
Troy
. We also represent victimized investors
throughout the rest of New York State, including Buffalo, Binghamton, Syracuse,
Watertown, Utica, Kingston, New York City/Manhattan, Long Island, and
everywhere in between, as well as in the surrounding states of Massachusetts,
Vermont, New Hampshire, Connecticut, and New Jersey.