SEC Adopts Rules That Increase the Information Brokers Must Provide to Investors on Order Handling

Orrick - Finance 20/20
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On November 2, the Securities Exchange Commission (“SEC“) announced that it voted to adopt amendments that require broker-dealers to disclose the way that they handle investors’ orders. The new disclosures will provide customers with information about the average rebates the broker received from, and the fees the broker paid to, treading venues. Release.

 

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