The proposed change will make the tracking order process available only for orders that are eligible to route to an away market. View release in full here (links externally to SEC website).

View release in full here (links externally to SEC website).

View release in full here (links externally to SEC website). Submit comments on SR-NYSE-2012-26

The brother of Bernard was banned from working in the securities industry. Cross Reference(s): Exchange Act Section 15(b)(6); Advisers Act Section 203(f). View litigation release in full here (links externally to SEC website).

Where criminal convictions that had formed the basis of sanctions under the Advisers Act were dismissed, it was appropriate also to dismiss the sanctions under the Advisers Act. Cross Reference(s): Advisers Act Sections 203(a)(6) and 203(f). View litigation release in full here (links externally SEC website).