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) (Q3 2012) →

MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual … Continue reading MSRB Rule A•14 (Annual Fee) →