July 2023 White Paper
Rule 206(4)-1, modernizes regulations for investment adviser advertisements and payments to solicitors, recognizing the impact of electronic media and mobile communications. The rule aims to improve the information available to investors and consolidates the existing advertising and cash solicitation rules into a comprehensive one.
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
