Rule 606 Compliance Reporting
Updated Rules, Increased Complexity
Our team at BestXstats has been at the forefront of financial compliance for decades and helped pioneer the research and framework that went into the original SEC Rule 606. (2000)
Choose the most experienced team to help you comply with the new order handling rules, effective October 1, 2019.
NOTABLE FEATURES
SEC RULE 606(a)(1)
- Held Order Flow
- Equities and Options < $50,000
- Report posted to SEC website
- Marketability at route time
- Disclosure of fees and rebates
SEC RULE 606(b)(3)
- Not Held Order Flow
- Upon request of customer
- Highly detailed routing information
- Liquidity Metrics
- Actionable Indications of Interest (IOI)
- Disclosure of fees and rebates
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