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| Products & Services: Compliance Reports Rule 606 The US Securities and Exchange Commission Act Rule 606 requires all broker-dealers to make public, quarterly reports containing certain information on their order routing practices. The report must be posted on a free, public, and readily accessible Internet web site, and must include the percentage of customer orders that were market orders, limit orders and other order types, the identity of the top ten market centers to which such orders were routed and any other market center that received 5% or more of such orders. In addition, a firm must disclose the material aspects of the firm's relationship with each market center with respect to payment-for-order-flow, and rebates. Mezzoware produces this report on your behalf, using trade data maintained in its TradeTracker system, and can accept trade data for trades processed outside of its system. A simple interface provides for your firm to add the trade data done ‘away’ from our system, and also the required ‘material aspects’ content. We maintain all your required previous quarterly reports, and at the end of each quarter, we will post your firm’s report on a public web site, and provide you with a link for your firms to link to your report. We can also provide you with the report to upload yourself, or can upload it directly to your site. |
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