Tag: Rule 11Ac1-6

Compliance

SEC Provides Guidance on Rule 11Ac1-6

SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>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 […]