Brainstorming on Regulation Best Execution

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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TRADEliance consultants have the knowledge and first hand experience to improve your firm's trading operations or compliance processes.

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