Best Execution Order Routing

The Protegent Trading Compliance Best Execution module helps you meet your fiduciary obligations while improving your competitive advantage.

  • Store user information online for three years, with an additional four years of storage on tape.
  • Benefit from access to the market data tick database for all securities for one year.
  • More easily comply with Securities and Exchange Commission (SEC) Rules 605 and 606, which mandate that firms publish, on a public website, specific data that relate to order execution (Rule 605) and order routing (Rule 606) practices.

Public Disclosure - SEC 606 Disclosure Download

GO BACK |  Order Execution (Rule 605) |  RULE 606 EXPLAINATION

Select Company Name

No reports found.

Beginning Q4 2011 please see SunGard Brokerage & Securities Services LLC (“ANDZ“) for SEC Rule 606 Disclosure of Order Routing Information

General

+

Nasdaq Securities

+

Nasdaq Listed Securities

NYSE Securities

+

New York Stock Exchange Listed Securities

AMEX/Other Sec.

+

Amex/Other Listed Securities

OPTN

+

OPTN Listed Securities