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SEC Rule 11Ac1-5 Execution Disclosure
The U.S. Securities and Exchange Commission's (SEC) client disclosure rule,
SEC Rule 11Ac1-5, requires market centers to prepare and make available to the public
monthly reports in electronic form that categorize their order executions and include
statistical measures of execution quality.
SEC Rule 11Ac1-6 Disclosure of Order Routing Information
The U.S. Securities and Exchange Commission's (SEC) client disclosure rule,
SEC Rule 11Ac 1-6 require a broker-dealer that routes orders on behalf of customers,
to prepare quarterly reports that disclose the identity of the venues to which it
routed orders for execution. Broker-dealers are required to disclose,
on customer request, where they routed a customer's individual orders for execution.
This information is presented through a viewer, which makes the information easy-to-use
and understand. Please click the link below to proceed to Order Routing Information.
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