Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Tag Archives: Reg NMS

SEC Extends Compliance Date for Regulation NMS Changes

Posted in Broker-Dealer
The Securities and Exchange Commission has extended the compliance dates for amendments to Rule 606 of Regulation National Market System (NMS) that were adopted in November 2018. The amendments to Rule 606 require specific additional disclosures for broker-dealers, including disclosure upon customer request of information relating to a customer’s NMS stock orders submitted on a not… Continue Reading