July 2023 White Paper
Overview and Requirements Summary, Investment Fund Manager Duties, Dealer Duties, Cost of Investing and Compensation, Fund Expense Ratio for Investment Funds.
Overview, Regulatory Timelines, Quarterly Report on Order Routing, Requirements for Customer Requests for Order Routing Information, Disclosure to Customers of Execution Venue of Customers Orders, Detailed Disclosure to Customers of Order Handling
Firms continue to contend with regulatory challenges as the drive to standardize regulatory reporting persists. Regulators continue to strengthen their focus on transparency and harmonization, particularly in the derivatives space
Overview, Regulatory Timelines, Required Content in the Monthly Reports, Changes to the Rule with SEC Proposed Amendments, Elements Required to be Reported with SEC Proposed Rule Updates, New Section Covering Executions of Market and Marketable Limit Orders
