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SEC | RIN: 3235-AL67 | Publication ID: Fall 2018 |
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. |
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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 13771 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 |
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Timetable:
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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 |