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”.

Presenter:

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

CALL NOTES

[sdm_download id=”11019″ fancy=”0″]

[sdm_download_counter id=”11019″]

STA Open Call Notes are free for members.
Not a member?
Please consider a $10 donation to the STA Foundation here>