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BLOGS. December 6, 2019

Rule 606: Getting Ready for Implementation

Frustrating, inconvenient, costly delays—a harsh reality of our world. We often associate delays with airports, public transportation or traffic. I once spent 6 hours on the tarmac at Logan Airport only to have the flight canceled due to mechanical issues. A delay, however, isn’t always detrimental. Sometimes delays give us a chance to deeply understand the root of a problem and help us formulate an appropriate plan of action. In the case of the recent surge in regulation in the U.S. financial markets—particularly for broker-dealers—606b and its repeated delays have been met with open arms.

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