Tag: Rule 11Ac1-6

Compliance

SEC Provides Guidance on Rule 11Ac1-6

SEC Provides Guidance on Rule 11Ac1-6 FAQ Posted For Order Routing Reporting Guidance By Mark J. Astarita, Esq.   On June 22, 200` the SEC announced that its Division of Market Regulation has published Staff Legal Bulletin No. 13 responding to questions the staff has received from market participants on the […]