SEC Rule 5 & 6 Disclosure
(Note: All links below will open in a new window.)Disclosure of Required SEC Order Execution Information
The U.S. Securities and Exchange Commission has adopted Rule 11Ac1-5, which requires market centers to publicly disclose, on a monthly basis, uniform statistical measures of order execution quality. These measures include, but are not limited to, how market orders of various sizes are executed relative to public quotes, as well as information about spreads paid for by investors. In accordance with Rule 11Ac1-5, Fox-Pitt, Kelton Incorporated execution reports are available for public review at the Transaction Auditing Group's website.
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Disclosure of Required SEC Order Routing Information
The U.S. Securities and Exchange Commission has adopted Rule 11Ac1-6, which requires broker-dealers to make available quarterly reports that present a general overview of their order routing practices. Such reports will be furnished to Fox-Pitt, Kelton Incorporated customers upon request. In accordance with Rule 11Ac1-6, Fox-Pitt, Kelton Incorporated quarterly reports are available for public review at the Transaction Auditing Group's website.
More information about Rule 11Ac1-6