Execution Compliance and Surveillance Service

Jordan & Jordanís Execution Compliance and Surveillance Service (ECS) helps firms evaluate and demonstrate their performance in complying with the SECís and FINRAís rules related to Reg NMS, Short Sale Amendments, and execution quality. Specifically, these rules include:

  1. Limit Up-Limit Down (SEC Rule 608)
  2. Best Execution/NBBO (FINRA Rule 5310)
  3. Order Protection Rule (SEC Rule 611)
  4. ISO Order Routing and Quote Analysis (SEC Rule 611)
  5. Amendments to Reg SHO (SEC Rule 201)
  6. Disclosure of Order Routing Information (SEC Rule 606)

ECS enables clients to monitor the effectiveness of their required policies and procedures. Equally important, ECS provides detailed records to demonstrate the firmís commitment to ongoing surveillance.

From high-altitude views of trading activity to a ground-level breakdown of executions and market data, ECS offers the transparency needed to be proactive, compliant, and competitive.

Key Features of ECS

For additional information on Jordan & Jordan's Execution Compliance and Surveillance Service, contact Michael O'Conor, 212-655-2953.