Regulatory Alerts2016-05-12 | DOF 5436851Added
Resolution modifying the General Provisions applicable to Brokerage Houses
The National Banking and Securities Commission amends Articles 1, 93, 201, and 214 of the General Provisions applicable to Brokerage Houses and replaces Annex 9 to require the submission of order and assignment data for operations registered in electronic trading systems. Brokerage houses must now report assignment details (Report J-0316) daily and order details (Report J-0317) upon request by the third business day following notification. These changes enhance supervisory oversight by providing the Commission with necessary information on client instructions and executed trades in the equity market.
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