Best Execution: A Look at Rule 11Ac1–5 Compliance and Competitive Analysis
ALAN SHAPIRO
(Founder of the Industry Advisory on Best Execution and is president of the Transaction Auditing Group, Inc. (TAG), based in New York. He may be contacted at ashapiro@tagaudit.com.)
612
Abstract
Here you will find practical analysis of the rule and how it will work in the real world. It has a particular application to compliance officers who are charged with that responsibility to see to it that the rule is properly implemented and enforced. There is also some forward looking analysis of what problems or questions the new rule may bring.
Citation
SHAPIRO, A. (2001), "Best Execution: A Look at Rule 11Ac1–5 Compliance and Competitive Analysis", Journal of Investment Compliance, Vol. 2 No. 2, pp. 23-29. https://doi.org/10.1108/eb045906
Publisher
:MCB UP Ltd
Copyright © 2001, MCB UP Limited