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Up to Nov 30 2014Dec 1 2014 onwards

Rule 351 Reporting Requirements

This rule is no longer applicable.

/01 Reports of Investigation

Member organizations are required to make quarterly written statements to the Exchange as to the result of reviews made under Rule 342.21 in connection with proprietary and employee trading. If member organizations determine that no trades subject to the review procedures violated rules concerning insider trader and manipulative and deceptive devices, a written statement substantially the same as set forth in Rule 351(e) would be submitted in accordance with the time frame specified in the rule.

If information is developed that leads to an investigation of a trade previously reported as reviewed with no problems, notice of commencement of an investigation should be made promptly to the Exchange. The previously filed written statement should not be amended and resubmitted and a member organization should not delay reporting the onset of an investigation until the next (quarterly) report is due since the trade subject to the investigation would not be a covered trade reviewed for the quarter covered by the next report.

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