Regulatory Alerts2022-03-01 | DOF 5644131Added · Updated
Resolving Amendment to the Resolution Modifying the General Provisions Applicable to Broker-Dealers Published on November 4, 2021
The National Banking and Securities Commission extends the deadline for broker-dealers to modify their manuals, systems, and internal controls to comply with specific articles regarding best execution and order routing until March 18, 2022. This amendment also sets the effective date of the underlying resolution to May 16, 2022, and grants the Commission until that date to approve the submitted modifications. The resolution itself enters into force the day following its publication in the Official Gazette.
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