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SEC Rule 606 – Are We Nearly There Yet?

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SEC Rule 606 has been given a new lease of life with a renewed version due to be implemented in October 2019 requiring brokers to provide greater transparency around how they route and handle customer orders.

While the rule goes back 18 years and hasn’t been enforced to any great extent, the amended version has serious implications for both buy-side and sell-side firms, although exactly what those implications will be remains to be seen as the SEC has not yet published final guidance.

Listen to this podcast, brought to you from a panel discussion at A-Team Group’s TradingTech Summit in New York City on June 11, 2019, to find out more about the requirements of Rule 606, points that require clarification, its impact on broker processes and outcomes for investors.

The panel was moderated by Tom Jordan, CEO at Jordan & Jordan, and joined by Venu Palaparthi, managing director, chief compliance officer, Dash Financial Technologies; Enrico Cacciatore, senior quantitative trader, head of market structure and trading analytics at Voya Investment Management; and Jack Miller, head of trading at Robert W. Baird & Co.

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