Securities And Exchange Commission
Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices
November 2, 1994 - 59 FR 0 - RIN: - Download Full Notice: Text | PDF
The Securities and Exchange Commission is proposing to revise its rules governing disclosure to customers by broker-dealers of practices related to the routing of order flow, including payment for order flow, internalization of order flow, and affiliate practices. The proposed amendments are intended to provide customers with more useful information in evaluating the quality of executions.
Agency Contact: Jill W. Ostergaard, 202/942-3197, Attorney, Office of Market Supervision, Division of Market Regulation, Securities and Exchange Commission (Mail Stop 5-1), 450 5th Street, NW., Washington DC 20549.
This is a proposed regulation. Comments were due on December 15, 1994.
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