BD- Broker-Dealer Best Execution Review Checklist


Regular price $325.00

The Broker-Dealer Best Execution Review Checklist is a useful tool and guide when meeting the requirements for conducting regular and rigorous reviews as part of a Broker-dealer’s obligation to obtain best execution when handling customer orders.  The Checklist assists broker-dealers in testing the range and quality of execution services and whether the Firm used reasonable diligence to ascertain the best market for the subject security and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions.

Version/Update: V.3/May 27, 2018

Total Page Count: 11

Source/Author(s): Connexien