Best Execution

This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review

This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations

This is the SEC's proposed standard for its best execution proposed rule

"If adopted, it would help ensure that brokers have policies and procedures in place to uphold one of their most important obligations: to seek best ...

"The proposed rule provides a handy checklist for SEC examiners and enforcement attorneys, but it does not foster brokers’ exercise of judgment to achieve what ...

"Redundant regulation will increase costs without corresponding benefits to investors"

"I’ve asked them to make recommendations for the Commission’s consideration around a potential SEC-level Best Execution rule. I’ve also sought recommendations around how to instill ...

After 2019, Aventura Capital continued to revise its disclosures with respect to its conflict of interest concerning 12b-1 fees, but Aventura Capital’s revised disclosures did ...

"I’ve asked staff to make recommendations for the Commission’s consideration around how we might update Rule 605 so that investors receive more useful disclosure about ...

These disclosures that commission rates charged “may” not be the “lowest,” the “absolute lowest,” or even “not the lowest” failed to fully and fairly disclose ...