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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#


Chris Bok and Son-Mi Lee
Financial Information Forum, "FIF"


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