Stop Quotation Order Guidelines Under FINRA Regulatory Notice 12-50

Stockbroker Law - Tuesday, April 02, 2013
Stop Quotation Order Guidelines Under FINRA Regulatory Notice 12-50

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.


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