Tag: Rule 606
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Order Routing Disclosures
The Security Traders Association (“STA”) appreciates the opportunity to offer comments on the Securities and Exchange Commission (“Commission” or “SEC”) proposed rule on Disclosure of Order Handling Information; File No. […] Read More
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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 […] Read More
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SEC Order Handling Disclosure Proposal – Part I – Overview
STA has made multiple trips to Washington DC over the summer using two (2) sets of Talking Points: -Talking Points July 13, 2016 -Talking Points June 15, 2016 Approval of […] Read More