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SEC RIN: 3235-AL67 Publication ID: Fall 2017 
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, and to enhance current order routing disclosures for retail orders.

 
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 
EO 14192 Designation: Independent agency 
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  10/00/2018 
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