Rule 606 Working Group

The Rule 606 Working Group will meet on Tuesday, November 23 to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities.” The Working Group also will discuss supplemental information to be submitted to the SEC relating to options look-through.