Regulation Best Execution

OMB 3235-0812

OMB 3235-0812

Latest Forms, Documents, and Supporting Material

Document Name
Best Execution Supporting Statement (2023 Proposed Rule).pdf Supporting Statement A
Small Broker-Dealer Compliance Procedures under Rule 1102- Ongoing
Small Broker-Dealer Compliance Procedures under Rule 1102 - Initial
Large Broker-Dealer Compliance Procedures under Rule 1102 - Ongoing
Large Broker-Dealer Compliance Procedures under Rule 1102 - Initial
Small Broker-Dealer Regular Review and Documentation under Rule 1101 (b) and (c) - Ongoing
Large Broker-Dealer Regular Review and Documentation under Rule 1101(b) and (c) - Ongoing
Small Broker-Dealer Policies and Procedures under Rule 1101 - Ongoing
Small Broker-Dealer Policies and Procedures under Rule 1101 - Initial
Large Broker-Dealer Policies and Procedures under Rule 1101 - Ongoing
Large Broker-Dealer Policies and Procedures under Rule 1101 - Initial

All Historical Document Collections

202311-3235-009

Comment filed on proposed rule

New collection (Request for a new OMB Control Number)

2023-11-14

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