Trade-Through Rule Reform: The SECâs Depth of Book Alternative (CRS Report for Congress)
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| Release Date |
Revised Dec. 14, 2005 |
| Report Number |
RL32788 |
| Report Type |
Report |
| Authors |
Gary Shorter, Government and Finance Division |
| Source Agency |
Congressional Research Service |
| Older Revisions |
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Summary:
This report provides an examination of the highly controversial and ultimatelyrejected DOB proposal. It begins by providing background on the DOB's regulatoryorigins, then examines: (1) the mechanics of the DOB and some of its precedents; (2)the central arguments and counter arguments surrounding the DOB; (3) how a DOB might have affected institutional investors; (4) technology and cost issuessurrounding a DOB; and (5) how the DOB would have fit into the broker's duty ofbest execution.
