About a-team Marketing Services
The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Podcasts

SEC Rule 606 – Are We Nearly There Yet?

Subscribe to our newsletter

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.

Subscribe to our newsletter

Related content

WEBINAR

Upcoming Webinar: Best approaches for trade and transaction reporting

11 September 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes Compliance practitioners and technology leaders in capital markets face mounting pressure to ensure that reporting processes are efficient, accurate, and aligned with global standards. Market developments and jurisdictional nuances in regulatory frameworks like MiFID II, EMIR, SFTR and MAS create a...

BLOG

CJC and Broadhead Technologies Launch Blockchain-Powered Market Data Contract Platform

CJC, in collaboration with Broadhead Technologies, has officially launched Digital Rights for Data Management (DRDM), a blockchain-based platform designed to enhance market data contract management for financial institutions. The system aims to improve compliance, automate processes, and optimise revenue generation. Built on a custom blockchain distributed ledger technology (DLT) foundation, DRDM enables real-time data tracking,...

EVENT

Data Management Summit New York City

Now in its 15th year the Data Management Summit NYC brings together the North American data management community to explore how data strategy is evolving to drive business outcomes and speed to market in changing times.

GUIDE

AI in Capital Markets: Practical Insight for a Transforming Industry – Free Handbook

AI is no longer on the horizon – it’s embedded in the infrastructure of modern capital markets. But separating real impact from inflated promises requires a grounded, practical understanding. The AI in Capital Markets Handbook 2025 provides exactly that. Designed for data-driven professionals across the trade life-cycle, compliance, infrastructure, and strategy, this handbook goes beyond...