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15 Jan 2025

📊OMB Review Submission for Rule 606 Compliance by SEC

Submission for OMB Review; Comment Request; Extension: Rule 606 of Regulation NMS

Agencies

  • Securities and Exchange Commission

Business Impact ?

$$ - Med

The content outlines compliance and regulatory requirements under Rule 606 of Regulation NMS, which directly impacts broker-dealers. The estimated burden of reporting and responding to customer requests can significantly affect operational costs and resource allocation decisions for affected businesses.

View Related Items ?

compliance sec financial reporting rule 606 regulation nms broker-dealers
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