Observations Related to Regulation NMS Rule 606 Disclosures

Today the Division of Examinations published a Risk Alert to highlight observations from examinations regarding how broker-dealers were complying with the new Regulation NMS Rule 606 (“Rule 606”) disclosure requirements and to remind broker dealers of their obligations under the new and enhanced Rule 606(a) requirements.

View the Risk Alert: Observations Related to Regulation NMS Rule 606 Disclosures