S3 Rolls Out New Rules Coverage, Looks to Expand Reporting Capabilities

S3's Regulatory Reporting Suite already covers SEC Rules 605 and 611, and the current iteration of Rule 606; while the Finra Pilot Program goes into effect on Oct. 3.


In July of this year, the SEC proposed rules "that for the first time would require broker-dealers to disclose the handling of institutional orders to customers," according to the regulatory body.

From the SEC:

Rule 606 requires broker-dealers to disclose publicly, on a quarterly basis, certain aggregated order routing information for customer orders in NMS securities, and to disclose separately, to a customer upon request, certain customer-specific order routing information for the past six

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