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Disclosure Requirements Securities and Exchange Commission (SEC) Order Routing

Dechert LLP

SEC’s Proposed Amendments to Broker-Dealers’ Order Routing Disclosures

Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) has published proposed amendments to Rule 606 under Regulation NMS of the Securities Exchange Act of 1934 (Exchange Act), which would require broker-dealers to disclose...more

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