Tags: Williams & Jensen

SEC Open Meeting on Order Routing Disclosures – Jul 13th

At a July 13, open meeting the Securities and Exchange Commission (SEC) voted unanimously to “adopt amendments to its Rules of Practice regarding administrative proceedings” (summary agenda); “adopt amendments and guidance relating to Regulation SBSR and to establish a compliance schedule for the portions of Regulation SBSR for which the Commission has not previously established compliance dates” (Item 1); “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disclosures for retail customers” (Item 2); and “propose amendments to certain redundant, duplicative, overlapping, outdated, or superseded disclosure requirements” (Item 3).

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W&J 5/13 Washington Update

Williams & Jensen Washington Update
May 13, 2016
Selected pages related to Financial Services

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W&J 5/6 Washington Update

Williams & Jensen Washington Update
May 6, 2016
Selected pages related to Financial Services

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SEC EMSAC April 26th Meeting Notes

On April 26th the Securities and Exchange Commission (SEC) convened a meeting of the Equity Market Structure Committee (Advisory Committee, or EMSAC) to discuss (1) a framework for a potential access fee pilot; (2) recommendations relating to trading and venues regulation; and (3) Market Quality Subcommittee and Customer Issues Subcommittee status reports.

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W&J 4/22 Washington Update

Williams & Jensen Washington Update
April 22, 2016
Selected pages related to Financial Services

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