SEC Rule 605 Execution Disclosure
The U.S. Securities and Exchange Commission's (SEC) client disclosure rule, SEC Rule 605, requires market centers to prepare and make available to the public monthly reports in electronic form that categorize their order executions and include statistical measures of execution quality.
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SEC Rule 606 Disclosure of Order Routing Information
The U.S. Securities and Exchange Commission's (SEC) client disclosure rule, SEC Rule 606 require a broker-dealer that routes orders on behalf of customers, to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. Broker-dealers are required to disclose, on customer request, where they routed a customer's individual orders for execution.
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