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SEC Announces Comment Deadline on Order-Handling Disclosure Rule

The public comment period for the final rule increasing the transparency of broker-dealers' "handling and routing of orders in NMS stock" will end on December 6, 2018. As previously covered, the effective date is January 18, 2019 and the compliance date is May 20, 2019.

Primary Sources

  1. SEC Announcement: Draft 2018 Order Routing and Handling Data Schema and Report Renderer for Broker-Dealers

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Tags

Regulated Entities
Broker-Dealers
Regulated Products
Equities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC