The SEC Rules: How Modernizing Rule 605 Impacts Your Firm

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - June 01, 2023 12:00 - 27 minutes - 18.7 MB - ★★★★★ - 7 ratings
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In December 2022 the SEC offered 4 market structure proposals. The proposal to modernize Rule 605 was met with broad-based industry support. Oyster Consultant Frank Childress and guest Ted Karn, founder of The Karn Group, walk through what modernizing Rule 605 will mean for the industry, and what firms should be doing to prepare.

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