Hampton Securities (USA) Inc.
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 606 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:
For further information, please visit the Securities and Exchange website at http://www.sec.gov/.