Best Execution

While larger firms tend to give best ex reviews to committees, too many smaller firms make the mistake of lacking any best ex reviews

The best ex failures were first detected via FINRA's sweep examination of firms offering zero commission trading

'Chair Gensler’s use of the SEC as a political tool is deeply concerning...'

FINRA proposes to faciliate centralized access to broker-dealers' order execution quality reports for NMS stocks

Gensler has 'failed' in his mission, Committee Chairman claims

Four proposals address Regulation Best Execution, enhancing order competition, tick sizes and disclosure of order execution

Best ex has sat atop the agency’s list of issues for a long time

A host of compliance slip-ups and CCO changes feed into this enforcement action

Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"

Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...