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SEC | RIN: 3235-AL67 | Publication ID: Fall 2014 |
Title: ●Amendments to Exchange Act Rules 600 and 606: Order Routing Transparency for Institutional Customers | |
Abstract:
The Division is considering recommending that the Commission propose to amend Exchange Act Rules 600 and 606 in order to standardize and increase transparency for institutional customers with regard to how broker-dealers route their order flow. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 242.600 17 CFR 242.606 | |
Legal Authority: 15 USC 78b 15 USC 78c(b) 15 USC 78k-1 15 USC 78o(f) 15 USC 78q(a) 15 USC 78q(b) 15 USC 78w(a) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Christopher Grobbel Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5491 Email: grobbelc@sec.gov |