Fines & Wines

Brainstorming on Regulation Best Execution

January 05, 2023 TRADEliance Season 1 Episode 7
Fines & Wines
Brainstorming on Regulation Best Execution
Show Notes

Listen in as TRADEliance brainstorms their comment letter for the Regulation Best Execution Proposal!  Topics discussed include: 

  • The Antifraud Provisions of the Exchange Act as the mechanism for enforcement
  • Conflicted Transactions
  • Impacts to Introducing Brokers
  • Use of Last Look 
  • The need for consistency in definitions

Read the Proposal here.

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