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SEC | RIN: 3235-AN24 | Publication ID: Fall 2023 |
Title: Regulation Best Execution | |
Abstract:
The Division is considering recommending that the Commission adopt new rules under the Securities Exchange Act of 1934 relating to a broker-dealer’s duty of best execution. Proposed Regulation Best Execution would enhance the existing regulatory framework concerning the duty of best execution by requiring detailed policies and procedures for all broker-dealers and more robust policies and procedures for broker-dealers engaging in certain conflicted transactions with retail customers, as well as related review and documentation requirements. |
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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 |
CFR Citation: 17 CFR 242.1100 17 CFR 242.1101 17 CFR 242.1102 | |
Legal Authority: 15 U.S.C. 77g 15 U.S.C. 77q(a) 15 U.S.C. 77s(a) 15 U.S.C. 78b 15 U.S.C. 78c(b) 15 U.S.C. 78e 15 U.S.C. 78g(c)(2) 15 U.S.C. 78i(a) 15 U.S.C. 78j 15 U.S.C. 78k-1 15 U.S.C. 78l 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78o(b) 15 U.S.C. 78o(c) 15 U.S.C. 78o(g) 15 U.S.C. 78o-1 15 U.S.C. 78q 15 U.S.C. 78w(a) 15 U.S.C. 78x 15 U.S.C. 78dd-1 15 U.S.C. 78mm 15 U.S.C. 80a-23 15 U.S.C. 80a-29 15 U.S.C. 80a-30 ... |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: Yes | |
Agency Contact: David R. Dimitrious Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5131 Email: dimitriousd@sec.gov |