Dear Colleague,
On November 2, 2018, the Securities and Exchange Commission amended Rules 605 and 606 under Reg NMS to require additional disclosures by broker-dealers to customers regarding the handling of their orders. The Commission stated that the amended rules would provide more detailed information to customers—with a focus on institutional customers.
Please join us as we discuss the implementation of these amendments.
STA Open Call
Implementation of Amendments to Rules 605 & 606
Tuesday, December 11th
4:30 pm to 5:00 pm edt
Dial in: 1.800.346.2923
Pass code: 562 945#
presenters:
Chris Bok and Son-Mi Lee
Financial Information Forum,
"FIF"
Register
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the amendments to Rules 605 & 606?
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