SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q4 2011) →

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250 →