Free Site Registration

Big Brother Wants More Dealer Disclosure

Traders Magazine, August 2000

William Hoffman

The SEC has new plans to make dealers disclose more information about their execution policies.

Proposed Rule 11Ac1-5 would require exchange specialists, over-the-counter market makers, electronic communications networks and others to issue monthly electronic public reports showing uniform statistical measures of execution quality for each stock transaction.

Get access to this article and thousands more...

All articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, online technology directory, the iPad App, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and trading strategies.

Already Registered?