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SEC Rule 606: Disclosure of Order Routing Practices
The SEC has adopted rules to improve public disclosure of order routing practices. Under Rule 606, formerly 11Ac1-6, broker-dealers that route customer orders in equity and option securities will make available to the public, the market centers to which non-directed customer orders were routed for execution. Broker-dealers will also disclosure the nature of their relationship to those market centers. For the purpose of this Rule, our clearing firm Penson Financial Services, Inc. has entered into an agreement with Quantum5 Market Surveillance, a Division of S3 Matching Technologies, to disclose the required information pertaining to this rule. This information can be viewed at: ftp://public.s3.com/11ac1-6/pfsi. |
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