SEC Rule 606; FINRA Rule 6470

The next call for the Rule 606 Working Group will be on Tuesday December 17 at 2 pm ET. The Working Group will discuss the current status of FIF’s discussions with regulators on how to calculate the percentage of orders routed to different venues for Rule 606(a) reporting. In addition, Working Group members will provide an update to the Working Group on a recent discussion with FINRA representatives relating to the implementation of FINRA Rule 6470 (OTC routing reports).