Best Execution

A market maker in OTC securities was charged with failing over a two-and-a-half-year period to provide best execution with respect to 1,674 orders

The Commission's economic analysis of the Regulation Best Execution proposal is "fundamentally flawed," in former Chief Economist's opinion

Merrill did not conduct a review of how long it took the firm's electronic order systems to process and route the orders to a market ...

"I was surprised to learn when I came to the SEC that the Commission actually didn’t have its own best execution rule"

FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews

The adviser did not fulfill its duty of care obligations when it exchanged Wrap Program clients’ existing assets in certain mutual funds for other investments ...

While larger firms tend to give best ex reviews to committees, too many smaller firms make the mistake of lacking any best ex reviews

The best ex failures were first detected via FINRA's sweep examination of firms offering zero commission trading

'Chair Gensler’s use of the SEC as a political tool is deeply concerning...'

FINRA proposes to faciliate centralized access to broker-dealers' order execution quality reports for NMS stocks