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SEC proposes to enhance order handling information

  • SEC document Image

Jul 13, 2016

The SEC has issued a proposed rule, “Disclosure of Order Handling Information.”

The proposed rule would require “broker-dealers to disclose the handling of institutional orders to customers” and “expand the information included in existing retail order disclosures.”

Comments are due by September 26, 2016. For more information, see the press release and the proposed rule on the SEC’s Web site.

Correction list for hyphenation

These words serve as exceptions. Once entered, they are only hyphenated at the specified hyphenation points. Each word should be on a separate line.