The leading knowledge platform for the financial technology industry
The leading knowledge platform for the financial technology industry

A-Team Insight Podcasts

SEC Rule 606 – Are We Nearly There Yet?

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.

Related content

WEBINAR

Recorded Webinar: Trade surveillance: Deploying monitoring and surveillance capabilities for today’s new normal

Let’s face it: The old ways aren’t coming back. A plethora of challenges brought on by the covid-19 pandemic, coupled with unrelenting market volatility and uncertainty, have pushed financial service firms to look for rigorous monitoring and surveillance solutions to meet the demands of the emerging trading landscape. Working from home (WFH) has increased the...

BLOG

Trading & Electronic Communications Surveillance in a Changing World

By Mike O’Hara, Special Correspondent. The ongoing necessity for many trading professionals to work from home has placed an additional burden on compliance teams struggling to ensure their firms play by the rules while staff operate away from designed-for-purpose trading floors. The situation has been a catalyst for change in how surveillance against financial crime...

EVENT

Data Management Summit London

The Data Management Summit Virtual explores how financial institutions are shifting from defensive to offensive data management strategies, to improve operational efficiency and revenue enhancing opportunities. We’ll be putting the business lens on data and deep diving into the data management capabilities needed to deliver on business outcomes.

GUIDE

Risk & Compliance

The current financial climate has meant that risk management and compliance requirements are never far from the minds of the boards of financial institutions. In order to meet the slew of regulations on the horizon, firms are being compelled to invest in their systems in order to cope with the new requirements. Data management is...