SEC, FIF Seek End to Rule 606 Compliance Confusion

At an SEC meeting Thursday, September 12, the regulator and association attempted to clarify the correct interpretations of guidance surrounding the new rule.

right path

A meeting between the Securities and Exchange Commission and industry body the Financial Information Forum on Thursday, September 12 to finalize details of how brokers can comply with the trade routing transparency requirements of SEC Rule 606, ended in confusion as the regulator and industry disagreed over interpretations of some aspects of the rule, and which approach would ultimately deliver most transparency for investors.

Rule 606, which aims to eliminate any conflicts of interest when

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