SEC Proposed Amendments on Order Routing Disclosures Part II – RETAIL

At a July 13, open meeting the Securities and Exchange Commission (SEC) voted unanimously “to propose amendments to Rules 600 and 606 of Regulation NMS to require new disclosures by broker-dealers to institutional customers about the routing and execution of their orders, and to propose targeted enhancements to current order routing disclosures for retail customers”.


David Weisberger
Managing Director
Global Head of Trading Analytics Products
IHS Markit


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