Labor Day Remembrance

SEC Publishes Responses to FAQs on Rule 606

Rule 606, as amended, requires more meaningful disclosures relevant to today’s marketplace that encourage broker-dealers to provide more effective and competitive order handling and routing services and that also improve the ability of their customers to determine the quality of such broker-dealer services.

FINRA Announces Governor Elections and Appointments

FINRA announced today the election or appointment of four Governors to its Board of Governors. Chris W. Flint, Linde Murphy, Camille Busette and Ethiopis Tafara were elevated to the board.

CFTC Chairman Tarbert Announces Additional Executive Leadership Appointments

U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the following appointments to the CFTC’s executive leadership team: Summer K. Mersinger will serve as Director of the Office of Legislative and Intergovernmental Affairs, while Suyash G. Paliwal will serve as Director of the Office of International Affairs.

SEC Investor Advisory Committee to Hold Telephone Meeting on September 5

The SEC’s Investor Advisory Committee will meet telephonically on Sept. 5 at 11 a.m. Eastern time. The public is invited to listen to the meeting live using the dial-in details provided. A recording of the meeting will be archived on the committee’s webpage for later listening.

Read August Newsletter here