Securities and Exchange Commission April 30, 2019 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings
Document Number: 2019-08795
Type: Notice
Date: 2019-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Disclosure of Order Handling Information
Document Number: 2019-08675
Type: Rule
Date: 2019-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (``Regulation NMS'') under the Securities Exchange Act of 1934 (``Exchange Act''), which require additional disclosures by broker- dealers to customers concerning the handling of customer orders. Specifically, the Commission is extending the compliance date for the recently adopted amendments to Rule 606. Following September 30, 2019, broker-dealers must begin to collect the information required by Rules 606(a) and 606(b) as amended. The compliance date remains May 20, 2019 for the amendments to Rule 605. The Commission is extending the compliance date for the recently adopted amendments to Rule 606 in order to give broker-dealers additional time to develop, program, and test for compliance with the new and amended requirements of the rule.