SEC Rule 606 (formerly known as Rule 11Ac1-6)
DISCLOSURE OF SEC-REQUIRED ORDER EXECUTION INFORMATION
SEC Rule 606 (formerly rule 11Ac1-6) mandates
public disclosure of the significant venues to which a broker/dealer
routes client orders to facilitate assessment of potential conflicts
of interest between the broker/dealer and its clients. Rule 6
requires broker/dealers to make publicly available quarterly reports
that identify the venues to which client orders are routed for
execution. The venues that must be disclosed include the top ten,
and any others that receive 5% or more of the broker/dealer's
orders. In addition, broker/dealers are required to disclose to
clients, on request, the venues to which other individual orders
were routed. The quarterly reports must also disclose the material
aspects of the broker/dealer's relationship with those
venues.
SEC Rule 606 reports are available for Hampton
Securities:
back to top© 2007 Hampton Securities Limited. All Rights Reserved.