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SEC

RIN: 3235-AL67

Publication ID: Fall 2016

Title: Disclosure of Order Handling Information
Abstract: The Commission proposed 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.
Agency: Securities and Exchange Commission(SEC)	Priority: Substantive, Nonsignificant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Final Rule Stage
Major: Undetermined	Unfunded Mandates: No
CFR Citation: 17 CFR 242.600 17 CFR 242.606
Legal Authority: 15 U.S.C. 78b 15 U.S.C. 78c(b) 15 U.S.C. 78k-1 15 U.S.C. 78o(f) 15 U.S.C. 78q(a) 15 U.S.C. 78q(b) 15 U.S.C. 78w(a)

Legal Deadline: None

Timetable:

Action	Date	FR Cite
NPRM	07/27/2016	81 FR 49432
NPRM Comment Period End	09/26/2016
Final Action	10/00/2017

Regulatory Flexibility Analysis Required: No	Government Levels Affected: Undetermined
Federalism: No
Included in the Regulatory Plan: No
RIN Information URL: www.sec.gov.rules/proposed/2016/34-78309.pdf
RIN Data Printed in the FR: No
Agency Contact: Andrew Sherman Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-7255 Email: shermana@sec.gov