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SEC enhances disclosures related to broker-dealer order handling

  • SEC document Image

Nov 05, 2018

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

Among other requirements, the final rule amends Rule 606 of Regulation NMS to “require additional disclosures by broker-dealers to customers regarding the handling of their orders.”

For more information, see the press release and final rule on the SEC’s Web site. 

Correction list for hyphenation

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